Ivy Pik Shan Lock
駱碧珊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ivy Pik Shan Lock (駱碧珊), a licensed former licensee with CE reference AIU532. This person has 8.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-20 | 2013-01-07 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-20 | 2013-01-07 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-01-06 | 2011-05-12 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-06-23 | 2009-05-11 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-06-23 | 2009-05-11 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-05-29 | 2009-05-11 |
| Joy Silver Limited 喜銀有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-04-19 | 2008-05-14 |
| CSC Asia Limited 群益亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-06-23 | 2006-03-31 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-06-11 | 2004-01-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ivy Pik Shan Lock 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.