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), a licensed Responsible Officer with CE reference AAF798. Currently licensed at 1 firm(s): BOCI-Prudential Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 6 - Advising on corporate finance; Type 9 - Asset management. 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 |