Diana Tak Ying Lo
羅德瑩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Diana Tak Ying Lo (羅德瑩), a licensed former licensee with CE reference AAC873. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Trinkaus Investment Management Limited |
Rep | Type 1 — Dealing in securities | 2010-12-15 | 2011-04-30 |
| HSBC Trinkaus Investment Management Limited |
Rep | Type 4 — Advising on securities | 2010-12-15 | 2011-04-30 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2006-03-29 | 2010-11-25 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2010-11-25 |
| LGT Investment Management (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-03-02 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 — Asset management | present | 2004-03-02 |