Ricky Tak Fat Lo
盧德發
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Tak Fat Lo (盧德發), CE reference ACL682. Currently licensed at 2 firm(s): Enlighten Futures Limited, Enlighten Securities Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-09-11 | present |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-18 | present |
| Piper Jaffray Asia Asset Management Limited 派杰亞洲資本管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-04-21 | 2008-10-01 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-02-02 | 2009-06-02 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-03-03 | 2005-02-02 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-06-02 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-03 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-03 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-03 |