The SFC Network

Oriental Stocks & Shares (Investment) Co.

東方證券投資公司

CE No. ABA910 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Oriental Stocks & Shares (Investment) Co. (東方證券投資公司), a Hong Kong-based licensed corporation with CE reference ABA910. Current licensed staff on file: 0 (total recorded over time: 3).

Licence history

Activity	From	To
Type 1 — Dealing in securities	present	2005-03-31
Type 4 — Advising on securities	present	2005-03-31
Type 6 — Advising on corporate finance	present	2005-03-31
Type 9 — Asset management	present	2005-03-31

Licensed staff (all-time) (3)
Active on date

1 Dealing in securities 4 Advising on securities 6 Advising on corporate finance 9 Asset management

RO only

Name	Activities	First licensed	To
Shuk Fan Lo 羅淑芬	RO 1, 4, 6, 9	Pre-2003	2005-03
Hou Yu Wong 黃孝耀	Rep 1, 4, 6, 9	Pre-2003	2005-03
Kwan Kwok Yip 葉君國	Rep 1, 4, 6, 9	Pre-2003	2003-09

Showing 1–3 of 3

Related