Ricky Chi Wa Lo
羅志華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Chi Wa Lo (羅志華), a licensed former licensee with CE reference ACC653. This person has 19.4 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-02 | 2022-12-21 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-07-02 | 2022-12-21 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-06-21 | 2010-03-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2010-03-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-16 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-01-08 |