Thomas Y Yu Lo
盧韋耀
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Y Yu Lo (盧韋耀), CE reference AFR473. Currently licensed at 1 firm(s): LiZen Asset Management Limited. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LiZen Asset Management Limited 理正資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-12-04 | present |
| LiZen Asset Management Limited 理正資產管理有限公司 |
RO | Type 9 — Asset management | 2018-12-04 | present |
| Longmega Asset Investment Management Limited 龍銘資產投資管理有限公司 |
RO | Type 4 — Advising on securities | 2017-09-14 | 2018-07-16 |
| Longmega Asset Investment Management Limited 龍銘資產投資管理有限公司 |
RO | Type 9 — Asset management | 2017-09-14 | 2018-07-16 |
| Longmega Asset Investment Management Limited 龍銘資產投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-02 | 2017-09-14 |
| Longmega Asset Investment Management Limited 龍銘資產投資管理有限公司 |
Rep | Type 9 — Asset management | 2017-08-02 | 2017-09-14 |
| Senchi Morgan Assets Management Limited 盛世摩根資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-02-01 | 2017-06-02 |
| Senchi Morgan Assets Management Limited 盛世摩根資產管理有限公司 |
RO | Type 9 — Asset management | 2017-02-01 | 2017-06-02 |
| ACU Securities Limited |
RO | Type 1 — Dealing in securities | 2016-02-18 | 2016-06-30 |
| ACU Securities Limited |
RO | Type 4 — Advising on securities | 2016-02-18 | 2016-06-30 |
| Dalton Capital (Hong Kong) Limited 萬智投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-05-23 | 2013-12-31 |
| Dalton Capital (Hong Kong) Limited 萬智投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-23 | 2007-06-14 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-03 | 2007-04-12 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-09-03 | 2007-04-12 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-08-25 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-08-25 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-02 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-02 |