Chia-Chen Lo
羅家真
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chia-Chen Lo (羅家真), CE reference ARG670. Currently licensed at 1 firm(s): Wisdom Asset Management Limited. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wisdom Asset Management Limited 滙智資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-16 | present |
| Wisdom Asset Management Limited 滙智資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-09-16 | present |
| Wisdom Asset Management Limited 滙智資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-09-16 | present |
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2020-02-12 | 2020-07-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-02 | 2017-01-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-09-02 | 2017-01-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-09-02 | 2017-01-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-09 | 2012-05-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-09 | 2010-12-06 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-17 | 2010-07-28 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-02 | 2010-07-28 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2008-07-02 | 2010-07-28 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2008-07-02 | 2010-07-28 |