Norman C. Lowe
勞樹源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Norman C. Lowe (勞樹源), a licensed former licensee with CE reference ACB086. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LQ Pacific Partners Limited 德迅太平洋資本有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-01 | 2025-09-26 |
| LQ Pacific Partners Limited 德迅太平洋資本有限公司 |
RO | Type 4 — Advising on securities | 2025-08-01 | 2025-09-26 |
| LQ Pacific Partners Limited 德迅太平洋資本有限公司 |
RO | Type 9 — Asset management | 2025-08-01 | 2025-09-26 |
| Win Wind Finance Limited |
Rep | Type 8 — Securities margin financing | 2023-12-13 | 2024-04-30 |
| Oshidori Securities Limited 威華達證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-31 | 2024-04-30 |
| Oshidori Securities Limited 威華達證券有限公司 |
RO | Type 4 — Advising on securities | 2015-10-19 | 2024-04-30 |
| Oshidori Securities Limited 威華達證券有限公司 |
RO | Type 9 — Asset management | 2015-10-19 | 2024-04-30 |
| Joincap Capital Limited 中楷資本有限公司 |
RO | Type 4 — Advising on securities | 2014-12-22 | 2015-05-15 |
| Joincap Capital Limited 中楷資本有限公司 |
RO | Type 9 — Asset management | 2014-12-22 | 2015-05-15 |
| Amber Hill Asset Management Limited 安山資產管理有限公司 |
RO | Type 4 — Advising on securities | 2011-07-13 | 2014-11-07 |
| Amber Hill Asset Management Limited 安山資產管理有限公司 |
RO | Type 9 — Asset management | 2011-07-13 | 2014-11-07 |
| Link Asset Management Limited 領展資產管理有限公司 |
RO | Type 9 — Asset management | 2006-08-23 | 2007-08-17 |
| Delta Asia Wealth Management Limited 滙業財富管理有限公司 |
RO | Type 4 — Advising on securities | 2005-05-12 | 2006-05-13 |
| Delta Asia Wealth Management Limited 滙業財富管理有限公司 |
RO | Type 9 — Asset management | 2005-05-12 | 2006-05-13 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-03-08 |
| Goctic Mansion House Investment Management Limited 香港華信萬勝投資管理有限公司 |
RO | Type 4 — Advising on securities | present | 2004-08-18 |
| Mansion House Asset Management Limited 萬勝資產管理有限公司 |
RO | Type 4 — Advising on securities | present | 2004-08-18 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 4 — Advising on securities | present | 2004-03-08 |
| Goctic Mansion House Investment Management Limited 香港華信萬勝投資管理有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-03-08 |
| Mansion House Asset Management Limited 萬勝資產管理有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-03-08 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-03-08 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 7 — Providing automated trading services | present | 2004-03-08 |
| Goctic Mansion House Investment Management Limited 香港華信萬勝投資管理有限公司 |
RO | Type 9 — Asset management | present | 2004-08-18 |
| Mansion House Asset Management Limited 萬勝資產管理有限公司 |
RO | Type 9 — Asset management | present | 2004-08-18 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 9 — Asset management | present | 2004-03-08 |