Chi Yan Lo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Yan Lo (盧紫茵), a licensed Responsible Officer with CE reference AFT126. Currently licensed at 3 firm(s): Huajin Securities (International) Limited, Huajin Futures (International) Limited, Huajin Research (International) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 22.4 years of SFC licence history. Total licence records on file: 30.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huajin Securities (International) Limited 華金證券(國際)有限公司 |
RO | Type 1 - Dealing in securities | 2019-04-17 | present |
| Huajin Futures (International) Limited 華金期貨(國際)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-04-17 | present |
| Huajin Research (International) Limited 華金研究(國際)有限公司 |
RO | Type 4 - Advising on securities | 2019-04-17 | present |
| Huajin Securities (International) Limited 華金證券(國際)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-04-04 | 2019-04-17 |
| Huajin Futures (International) Limited 華金期貨(國際)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-04-04 | 2019-04-17 |
| Huajin Research (International) Limited 華金研究(國際)有限公司 |
Rep | Type 4 - Advising on securities | 2019-04-04 | 2019-04-17 |
| CLC Securities Limited 創僑證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-09-20 | 2019-03-20 |
| CLC Futures Limited 創僑期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-09-20 | 2019-03-20 |
| CLC Securities Limited 創僑證券有限公司 |
RO | Type 4 - Advising on securities | 2017-09-20 | 2019-03-20 |
| CLC Futures Limited 創僑期貨有限公司 |
RO | Type 5 - Advising on futures contracts | 2017-09-20 | 2019-03-20 |
| Hooray Securities Limited 好盈證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-09-01 | 2017-09-13 |
| China Finance Holdings Limited 中港金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2012-05-18 | 2014-08-08 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 1 - Dealing in securities | 2011-08-02 | 2014-08-08 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2011-08-02 | 2014-08-08 |
| Finet Securities Limited 財華證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-31 | 2011-08-02 |
| Finet Securities Limited 財華證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-05-31 | 2011-08-02 |
| ASA Securities Limited 富國證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-09-29 | 2010-12-17 |
| ASA Securities Limited 富國證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-09-29 | 2010-12-17 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-02-23 | 2010-09-23 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-02-23 | 2010-09-23 |
| Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-07-18 | 2009-10-14 |
| Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-07-18 | 2009-10-14 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-02-10 | 2008-06-30 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2006-02-10 | 2008-06-30 |
| CASH Asset Management Limited 時富資產管理有限公司 |
Rep | Type 9 - Asset management | 2006-02-10 | 2008-06-30 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-06-30 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-19 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-19 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-02-19 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Yan 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.