Caness Siu Wai Lo
老小慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caness Siu Wai Lo (老小慧), a licensed former licensee with CE reference AFN514. This person has 9.8 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Karl-Thomson Commodities Company Limited 高信商品期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-11-28 | 2014-03-31 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-08-06 | 2014-03-31 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-05-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Caness Siu Wai Lo during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.