Rozina Lok Sze Cho
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rozina Lok Sze Cho (曹樂詩), a licensed Responsible Officer with CE reference AEH807. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 22.4 years of SFC licence history. Total licence records on file: 21.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-12-08 | present |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2020-12-08 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-09-18 | 2020-12-08 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-09-18 | 2020-12-08 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 4 - Advising on securities | 2016-12-13 | 2020-07-15 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 9 - Asset management | 2016-12-13 | 2020-07-15 |
| Celestial Securities Limited 時富證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-12-13 | 2020-07-15 |
| Celestial Commodities Limited 時富商品有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-12-13 | 2020-07-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-08-15 | 2016-12-13 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-08-15 | 2016-12-13 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2004-03-22 | 2011-10-21 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2011-10-21 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2011-10-21 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-19 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-03-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-19 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-03-02 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-02-19 |
| Celestial Finance Limited 時富財務有限公司 |
Rep | Type 8 - Securities margin financing | Pre-2003 | 2004-03-15 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-03-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Rozina Lok Sze Cho 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.