Dennis Kwai Sang Lo
羅貴生
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kwai Sang Lo (羅貴生), a licensed former licensee with CE reference ABM989. This person has 19.5 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| On Excel Asset Management Limited 滙凱資產管理有限公司 |
RO | Type 4 - Advising on securities | 2019-12-05 | 2022-10-20 |
| On Excel Asset Management Limited 滙凱資產管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2019-12-05 | 2022-10-20 |
| On Excel Asset Management Limited 滙凱資產管理有限公司 |
RO | Type 9 - Asset management | 2019-12-05 | 2022-10-20 |
| Yew Tree Limited 紫杉樹有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-09-03 | 2022-10-20 |
| Yew Tree Limited 紫杉樹有限公司 |
RO | Type 1 - Dealing in securities | 2018-09-28 | 2022-10-20 |
| Planetree Securities Limited 梧桐證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-23 | 2018-09-13 |
| Planetree Futures Limited 梧桐期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-10-23 | 2018-09-13 |
| Planetree Asset Management Limited 梧桐資產管理有限公司 |
Rep | Type 9 - Asset management | 2017-10-23 | 2018-09-13 |
| Planetree Asset Management Limited 梧桐資產管理有限公司 |
RO | Type 9 - Asset management | 2012-09-20 | 2017-10-23 |
| FTFT International Securities and Futures Limited 富冊國際證券期貨有限公司 |
RO | Type 1 - Dealing in securities | 2010-08-23 | 2011-10-18 |
| FTFT International Securities and Futures Limited 富冊國際證券期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2010-08-23 | 2011-09-26 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2017-10-23 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | Pre-2003 | 2017-10-23 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2004-09-20 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 5 - Advising on futures contracts | Pre-2003 | 2004-09-20 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2004-09-20 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-09-20 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-09-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Dennis Kwai Sang Lo during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.