Yiu Fai Loh
陸耀輝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yiu Fai Loh (陸耀輝), a licensed former licensee with CE reference ABN692. Total licence records on file: 38.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-28 | 2019-12-28 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-06-28 | 2019-12-28 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 4 — Advising on securities | 2019-06-28 | 2019-12-28 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2019-06-28 | 2019-12-28 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 9 — Asset management | 2019-06-28 | 2019-12-28 |
| Public Securities Limited 大眾証券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-24 | 2013-03-04 |
| Cinda International Securities Limited 信達國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-09-06 | 2012-10-17 |
| Cinda International Futures Limited 信達國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-09-06 | 2012-10-17 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-05 | 2012-07-24 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-03-05 | 2012-07-24 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2012-03-05 | 2012-07-24 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-11 | 2012-02-22 |
| President Securities (Hong Kong) Limited 統一證券﹝香港﹞有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-11 | 2012-02-22 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2009-05-06 | 2009-05-29 |
| Friedmann Pacific Asset Management (Hong Kong) Limited 富泰資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-05-06 | 2009-05-29 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 4 — Advising on securities | 2007-05-07 | 2008-10-25 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-12 | 2008-10-25 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-03-12 | 2008-10-25 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-12 | 2007-05-07 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 4 — Advising on securities | 2005-11-17 | 2007-02-17 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | 2005-09-22 | 2007-02-17 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-05 | 2005-09-22 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-05 | 2007-02-17 |
| Shun Loong Securities Company Limited 順隆證券行有限公司 |
Rep | Type 1 — Dealing in securities | 2003-11-12 | 2004-10-17 |
| Shun Loong Futures Limited 順隆期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-11-12 | 2004-10-17 |
| Shun Loong Securities Company Limited 順隆證券行有限公司 |
Rep | Type 4 — Advising on securities | 2003-11-12 | 2004-08-19 |
| Shun Loong Futures Limited 順隆期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2003-11-12 | 2004-08-19 |
| Shun Loong Securities Company Limited 順隆證券行有限公司 |
Rep | Type 7 — Providing automated trading services | 2003-11-12 | 2004-08-19 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-31 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-05-31 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-31 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-05-31 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-31 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-31 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-31 |
| Celestial Finance Limited 時富財務有限公司 |
Rep | Type 8 — Securities margin financing | present | 2003-05-31 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-31 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-31 |