Steven Wing Shing Lo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Wing Shing Lo (盧永成), a licensed Responsible Officer with CE reference AEW978. Currently licensed at 2 firm(s): Yue Xiu Securities Company Limited, Yue Xiu Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 22.5 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
RO | Type 1 - Dealing in securities | 2023-03-16 | present |
| Yue Xiu Capital Limited 越秀融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2023-03-16 | present |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 1 - Dealing in securities | 2023-02-06 | 2023-03-16 |
| Yue Xiu Capital Limited 越秀融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-02-06 | 2023-03-16 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 - Dealing in securities | 2016-07-21 | 2023-01-31 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2016-02-12 | 2016-07-21 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-02-12 | 2023-01-31 |
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-12-18 | 2016-01-31 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-09-25 | 2014-12-18 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-01-15 | 2014-09-04 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-10-31 | 2014-01-15 |
| Partners Capital International Limited 博大資本國際有限公司 |
RO | Type 6 - Advising on corporate finance | 2012-11-15 | 2013-10-15 |
| Partners Capital International Limited 博大資本國際有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-11-06 | 2012-11-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-01-03 | 2012-05-11 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-07-23 | 2011-01-03 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-10-02 | 2010-06-24 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
RO | Type 6 - Advising on corporate finance | 2006-12-28 | 2007-09-14 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-08-02 | 2006-12-28 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-01-08 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Steven Wing Shing 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.