Joanna Ka Loy Si
徐嘉來
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanna Ka Loy Si (徐嘉來), a licensed Representative with CE reference AAK578. Currently licensed at 1 firm(s): Prudential Brokerage Limited. Active regulated activities: Type 1 - Dealing in securities. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-03-27 | present |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-03 | 2020-03-16 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-03 | 2013-09-29 |
| Nerico Brothers Limited | Rep | Type 1 - Dealing in securities | 2007-10-16 | 2009-03-19 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2006-06-13 | 2007-10-04 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 1 - Dealing in securities | present | 2006-05-12 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-05-11 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-05-11 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-11-07 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 9 - Asset management | present | 2004-05-11 |