Sam Wan Wai Lok
駱穩威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sam Wan Wai Lok (駱穩威), a licensed Responsible Officer with CE reference AAK140. Currently licensed at 1 firm(s): Gayang Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 29.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Gayang Securities Limited 嘉銀證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-12-31 | present |
| Gayang Securities Limited 嘉銀證券有限公司 |
RO | Type 4 — Advising on securities | 2018-12-31 | present |
| Gayang Securities Limited 嘉銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-12-07 | 2018-12-31 |
| Gayang Securities Limited 嘉銀證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-07 | 2018-12-31 |
| Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-20 | 2018-07-27 |
| Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 |
RO | Type 4 — Advising on securities | 2017-11-20 | 2018-07-27 |
| United Securities Limited 團結證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-09-15 | 2017-05-29 |
| United Securities Limited 團結證券有限公司 |
RO | Type 4 — Advising on securities | 2016-09-15 | 2017-05-29 |
| United Securities Limited 團結證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-08-01 | 2016-09-15 |
| United Securities Limited 團結證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-08-01 | 2016-09-15 |
| DA International Financial Service Limited 直達國際金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2016-05-10 | 2016-06-24 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-27 | 2015-01-23 |
| XinKong International Securities Limited 信控國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-06-18 | 2014-07-31 |
| XinKong International Securities Limited 信控國際證券有限公司 |
RO | Type 4 — Advising on securities | 2014-06-18 | 2014-07-31 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-05-21 | 2014-06-18 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-05-21 | 2014-06-18 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 4 — Advising on securities | 2013-01-04 | 2014-05-05 |
| ASA Securities Limited 富國證券有限公司 |
Rep | Type 4 — Advising on securities | 2012-10-25 | 2013-01-04 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-10-25 | 2014-05-05 |
| Quantsmile (HK) Limited 量盈(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-02-28 | 2012-06-04 |
| T G Securities Limited 滙澤證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-02-28 | 2012-06-04 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-16 | 2011-12-15 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-08-16 | 2011-12-15 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2011-06-24 | 2011-12-15 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-20 | 2011-06-24 |
| Merdeka Securities Limited 領智證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-01-17 | 2011-05-18 |
| Merdeka Securities Limited 領智證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-12-22 | 2011-01-17 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-10 | 2009-11-23 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-05-12 | 2010-09-22 |