Wai Nam Lok
駱惠南
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Nam Lok (駱惠南), a licensed former licensee with CE reference ADQ670. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-15 | 2018-06-03 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-08-15 | 2018-06-03 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-02-13 | 2017-07-31 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-02-13 | 2017-07-31 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-11-26 | 2017-02-12 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 - Dealing in securities | present | 2017-02-12 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-09-22 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-09-22 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 9 - Asset management | present | 2003-09-22 |