Kwok Wing Loo
盧國榮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wing Loo (盧國榮), a licensed Responsible Officer with CE reference AAV946. Currently licensed at 1 firm(s): KVV Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KVV Capital Limited 君臨資本有限公司 |
RO | Type 4 — Advising on securities | 2022-01-31 | present |
| KVV Capital Limited 君臨資本有限公司 |
RO | Type 9 — Asset management | 2022-01-31 | present |
| Alaya Capital Limited 藏識資本有限公司 |
RO | Type 4 — Advising on securities | 2018-08-07 | 2021-03-08 |
| Alaya Capital Limited 藏識資本有限公司 |
RO | Type 9 — Asset management | 2018-08-07 | 2021-03-08 |
| CMBC International Securities Limited 民銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-30 | 2017-05-02 |
| CMBC International Securities Limited 民銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2016-11-30 | 2017-05-02 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
RO | Type 9 — Asset management | 2016-04-19 | 2016-05-15 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-23 | 2016-05-15 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-02-23 | 2016-05-15 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-02-23 | 2016-05-15 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-02-23 | 2016-05-15 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-02-23 | 2016-04-19 |
| Infiniti Investment Management Limited 京富投資管理有限公司 |
RO | Type 4 — Advising on securities | 2008-07-24 | 2008-12-01 |
| Infiniti Investment Management Limited 京富投資管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-07-24 | 2008-12-01 |
| Infiniti Investment Management Limited 京富投資管理有限公司 |
RO | Type 9 — Asset management | 2008-07-24 | 2013-08-31 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-03 | 2008-05-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-05-03 | 2008-05-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-08-31 | 2006-06-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-08-08 | 2006-06-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2005-07-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |