Lo, Chris Tsz On 盧子安
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-14 | Rep | Advising on securities | 2004-06-14 | Rep | Asset management | 2004-06-14 | Rep | Automated trading services | 2004-06-14 | Rep | Dealing in securities | 2004-08-12 | RO | Dealing in securities | 2004-08-12 | 2014-01-23 |
| 2 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2004-06-14 | Rep | Asset management | 2004-06-14 | Rep | Dealing in futures contracts | 2004-08-12 | RO | Dealing in futures contracts | 2004-08-12 | 2014-01-23 |
| 3 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-14 | Rep | Advising on securities | 2004-06-14 | Rep | Asset management | 2004-06-14 | Rep | Automated trading services | 2004-06-14 | Rep | Dealing in securities | 2004-08-12 | RO | Dealing in securities | 2004-08-12 | 2014-01-23 |
| 4 | Emperor Asset Management Limited | Rep | Asset management | 2023-06-14 | 2024-04-12 |
| 5 | EMPEROR FUTURES LIMITED | Rep | Advising on futures contracts | 2023-06-14 | 2024-05-03 | Rep | Dealing in futures contracts | 2023-06-14 | 2024-05-03 |
| 6 | EMPEROR SECURITIES LIMITED (HK) | Rep | Advising on securities | 2023-06-14 | 2023-09-29 | Rep | Dealing in securities | 2023-06-14 | 2023-09-29 | RO | Advising on securities | 2023-09-29 | 2024-04-17 | RO | Dealing in securities | 2023-09-29 | 2024-04-17 | Rep | Advising on securities | 2024-04-17 | 2024-05-03 | Rep | Dealing in securities | 2024-04-17 | 2024-05-03 |
| 7 | Hong Kong Stock Link Securities Limited | RO | Dealing in securities | 2018-03-07 | 2023-05-19 |
| 8 | KGI ASIA LIMITED | Rep | Dealing in securities | 2014-03-17 | 2014-05-29 | RO | Dealing in securities | 2014-05-29 | 2015-11-16 | Rep | Dealing in securities | 2015-11-16 | 2016-10-08 |
| 9 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2014-03-17 | 2014-05-29 | RO | Dealing in futures contracts | 2014-05-29 | 2015-11-16 | Rep | Dealing in futures contracts | 2015-11-16 | 2016-10-08 |
| 10 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-03-17 | 2014-05-29 | RO | Dealing in securities | 2014-05-29 | 2015-11-16 | Rep | Dealing in securities | 2015-11-16 | 2016-10-08 |
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