Ricky Tak Fat Lo
盧德發
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Tak Fat Lo (盧德發), a licensed Responsible Officer with CE reference ACL682. Currently licensed at 2 firm(s): Enlighten Futures Limited, Enlighten Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-09-11 | present |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-18 | present |
| Piper Jaffray Asia Asset Management Limited 派杰亞洲資本管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-04-21 | 2008-10-01 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-02-02 | 2009-06-02 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-03-03 | 2005-02-02 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-06-02 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-03 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-03 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-03 |