Pui Leung Lo
羅霈良
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pui Leung Lo (羅霈良), a licensed former licensee with CE reference AAD940. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cape Asset Management Limited 海角資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-08-09 | 2024-03-07 |
| Cape Asset Management Limited 海角資產管理有限公司 |
RO | Type 4 — Advising on securities | 2006-02-23 | 2024-03-07 |
| Cape Asset Management Limited 海角資產管理有限公司 |
RO | Type 9 — Asset management | 2006-02-23 | 2024-03-07 |
| Cape Asset Management Limited 海角資產管理有限公司 |
Rep | Type 9 — Asset management | 2005-12-09 | 2006-02-23 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 9 — Asset management | 2005-08-19 | 2005-12-01 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 4 — Advising on securities | present | 2005-08-19 |
| Allianz Global Investors Hong Kong Limited | RO | Type 4 — Advising on securities | present | 2005-01-31 |
| Allianz Global Investors Hong Kong Limited | RO | Type 5 — Advising on futures contracts | present | 2005-12-01 |
| Allianz Global Investors Hong Kong Limited | RO | Type 6 — Advising on corporate finance | present | 2005-01-31 |
| Allianz Global Investors Hong Kong Limited | RO | Type 9 — Asset management | present | 2005-08-19 |