Bonnie Sum Wai Lo-Man
盧心慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Bonnie Sum Wai Lo-Man (盧心慧), a licensed former licensee with CE reference AFV258. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| TPG Capital, Limited 美國德太投資有限公司 |
RO | Type 1 — Dealing in securities | 2022-12-30 | 2024-12-31 |
| TPG Capital, Limited 美國德太投資有限公司 |
RO | Type 4 — Advising on securities | 2022-12-30 | 2024-12-31 |
| NewQuest Capital Advisors (HK) Limited | RO | Type 9 — Asset management | 2012-03-08 | 2022-12-31 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-20 | 2011-04-15 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-23 | 2010-08-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-06-01 | 2011-04-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2003-07-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2003-07-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-07-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-07-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2003-07-01 |