Alison Shuk Kwan Lo
盧淑君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alison Shuk Kwan Lo (盧淑君), a licensed former licensee with CE reference AOS013. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Golden K2 Securities Limited | RO | Type 1 — Dealing in securities | 2018-08-24 | 2020-07-01 |
| Maxcess Capital Limited 至成資本有限公司 |
RO | Type 4 — Advising on securities | 2018-08-24 | 2020-07-01 |
| Maxcess Capital Limited 至成資本有限公司 |
RO | Type 9 — Asset management | 2018-08-24 | 2020-07-01 |
| Golden K2 Securities Limited | Rep | Type 1 — Dealing in securities | 2018-08-16 | 2018-08-24 |
| Maxcess Capital Limited 至成資本有限公司 |
Rep | Type 4 — Advising on securities | 2018-08-16 | 2018-08-24 |
| Maxcess Capital Limited 至成資本有限公司 |
Rep | Type 9 — Asset management | 2018-08-16 | 2018-08-24 |
| Target Capital Management Limited 泰達資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2011-05-30 | 2013-12-05 |
| Target Capital Management Limited 泰達資產管理有限公司 |
RO | Type 4 — Advising on securities | 2011-05-30 | 2013-12-05 |
| Target Capital Management Limited 泰達資產管理有限公司 |
RO | Type 9 — Asset management | 2011-05-30 | 2013-12-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-11-24 | 2010-07-06 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-11 | 2010-07-06 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-06 | 2010-07-06 |
| Crosby Wealth Management (Hong Kong) Limited 高誠財富管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-15 | 2009-08-01 |
| Crosby Wealth Management (Hong Kong) Limited 高誠財富管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-03-15 | 2009-08-01 |