Yi (SFC:ADX193) Luo
羅一
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi (SFC:ADX193) Luo (羅一), a licensed former licensee with CE reference ADX193. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CVC Asia Pacific Limited |
Rep | Type 4 — Advising on securities | 2016-03-24 | 2017-06-30 |
| CVC Asia Pacific Limited |
Rep | Type 6 — Advising on corporate finance | 2016-03-24 | 2017-06-30 |
| CVC Asia Pacific Limited |
Rep | Type 9 — Asset management | 2016-03-24 | 2017-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2003-04-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2003-04-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-04-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-04-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2003-04-24 |