Tsz Him Lo
羅子謙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsz Him Lo (羅子謙), a licensed former licensee with CE reference AXZ744. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | 2020-12-18 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-03 | 2020-12-18 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-13 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2015-11-13 | 2017-10-02 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-11 | 2015-10-30 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-05-11 | 2015-10-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-21 | 2015-04-21 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-06-21 | 2015-04-21 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-10-24 | 2015-04-21 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-09-06 | 2015-04-21 |