Dennis Kwai Sang Lo
羅貴生
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kwai Sang Lo (羅貴生), a licensed former licensee with CE reference ABM989. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| On Excel Asset Management Limited 滙凱資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-12-05 | 2022-10-20 |
| On Excel Asset Management Limited 滙凱資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-12-05 | 2022-10-20 |
| On Excel Asset Management Limited 滙凱資產管理有限公司 |
RO | Type 9 — Asset management | 2019-12-05 | 2022-10-20 |
| Yew Tree Limited 紫杉樹有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-09-03 | 2022-10-20 |
| Yew Tree Limited 紫杉樹有限公司 |
RO | Type 1 — Dealing in securities | 2018-09-28 | 2022-10-20 |
| Planetree Securities Limited 梧桐證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-23 | 2018-09-13 |
| Planetree Futures Limited 梧桐期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-10-23 | 2018-09-13 |
| Planetree Asset Management Limited 梧桐資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-10-23 | 2018-09-13 |
| Planetree Asset Management Limited 梧桐資產管理有限公司 |
RO | Type 9 — Asset management | 2012-09-20 | 2017-10-23 |
| FTFT International Securities and Futures Limited 富冊國際證券期貨有限公司 |
RO | Type 1 — Dealing in securities | 2010-08-23 | 2011-10-18 |
| FTFT International Securities and Futures Limited 富冊國際證券期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-08-23 | 2011-09-26 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2017-10-23 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2017-10-23 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 4 — Advising on securities | present | 2004-09-20 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2004-09-20 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-09-20 |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 9 — Asset management | present | 2004-09-20 |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 9 — Asset management | present | 2004-09-20 |