Ka Lok Sham
岑嘉諾
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Lok Sham (岑嘉諾), a licensed former licensee with CE reference BER999. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 1 — Dealing in securities | 2019-10-10 | 2020-04-24 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-10-10 | 2020-04-24 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 4 — Advising on securities | 2019-10-10 | 2020-04-24 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 9 — Asset management | 2019-10-10 | 2020-04-24 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-22 | 2016-12-14 |