Lawrence Yip Cheong Lo
盧業昌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lawrence Yip Cheong Lo (盧業昌), a licensed former licensee with CE reference AAB613. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2011-06-08 | 2013-10-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-17 | 2013-10-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-01-17 | 2013-10-20 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-01 | 2010-10-30 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2010-10-30 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | present | 2010-10-30 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-07-16 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-07-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-11-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-07-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-07-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-09-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 9 — Asset management | present | 2004-07-16 |