Cho Kin Law
羅祖堅
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cho Kin Law (羅祖堅), a licensed former licensee with CE reference ACN478. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-12-13 | 2015-01-01 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-12-13 | 2015-01-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-27 | 2011-12-05 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-04-27 | 2011-12-05 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-30 | 2009-04-18 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-01-30 | 2009-04-18 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2009-01-30 | 2009-04-18 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2005-08-31 | 2006-04-05 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-06-25 | 2006-04-05 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-06-25 | 2006-04-05 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2003-11-17 | 2004-06-04 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-11-17 | 2004-06-04 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2003-11-12 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2003-11-12 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-11-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2003-11-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-11-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2003-11-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2003-11-06 |