Kar Lok Chan
陳家樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kar Lok Chan (陳家樂), a licensed Responsible Officer with CE reference ABE379. Currently licensed at 2 firm(s): SDIC Securities (Hong Kong) Limited, SDIC Securities Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 26.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
RO | Type 4 — Advising on securities | 2013-01-24 | present |
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2012-08-01 | present |
| SDIC Securities Futures (Hong Kong) Limited 國投證券期貨（香港）有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-08-01 | present |
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2012-06-19 | 2012-08-01 |
| SDIC Securities Futures (Hong Kong) Limited 國投證券期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-06-19 | 2012-08-01 |
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2012-06-19 | 2013-01-24 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-20 | 2012-06-08 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-05-20 | 2012-06-08 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-05-20 | 2012-06-08 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2009-01-16 | 2011-05-03 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-01-16 | 2011-05-03 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-09 | 2009-01-16 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-09 | 2009-01-16 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-09 | 2011-01-07 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-27 | 2008-09-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-09 | 2008-09-30 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-01-09 | 2008-09-30 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-13 | 2005-12-30 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-12-13 | 2005-12-30 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-11 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-12-11 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-04 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-02-04 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-04 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-04 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-04 |