Karen Ka-Wai Lo
盧嘉慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Ka-Wai Lo (盧嘉慧), a licensed former licensee with CE reference ACD184. This person has 13.5 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2022-09-23 | 2025-06-03 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2020-03-12 | 2025-06-03 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 4 - Advising on securities | 2020-03-12 | 2025-06-03 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2019-03-25 | 2020-03-12 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-12-10 | 2019-02-15 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2015-12-10 | 2019-02-15 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2009-07-28 | 2009-07-30 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2009-06-26 | 2009-07-30 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-26 | 2009-06-02 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 - Advising on securities | 2008-05-26 | 2009-06-02 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-02-25 | 2007-03-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Karen Ka-Wai 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.