Seton Tak Chiu Lor
羅德昭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Seton Tak Chiu Lor (羅德昭), CE reference AAF798. Currently licensed at 1 firm(s): BOCI-Prudential Asset Management Limited. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-07-04 | present |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2007-02-09 | present |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 4 — Advising on securities | 2007-02-09 | present |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2007-02-09 | present |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 9 — Asset management | 2007-02-09 | present |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-01-18 | 2007-02-09 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2007-01-18 | 2007-02-09 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 9 — Asset management | 2007-01-18 | 2007-02-09 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-04-25 | 2006-10-09 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2005-04-25 | 2006-10-09 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 9 — Asset management | 2005-04-25 | 2006-10-09 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-06-14 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-04-25 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2005-04-25 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-14 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-04-25 |