Ricky Tak Fat Lo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Tak Fat Lo (盧德發), a licensed Responsible Officer with CE reference ACL682. Currently licensed at 2 firm(s): Enlighten Futures Limited, Enlighten Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 23.3 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2009-09-11 | present |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-18 | present |
| Piper Jaffray Asia Asset Management Limited 派杰亞洲資本管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2008-04-21 | 2008-10-01 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-02-02 | 2009-06-02 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-03-03 | 2005-02-02 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-06-02 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-03-03 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-03-03 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-03-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ricky Tak Fat Lo during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.