Rozina Lok Sze Cho
曹樂詩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rozina Lok Sze Cho (曹樂詩), a licensed Responsible Officer with CE reference AEH807. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-12-08 | present |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-12-08 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-18 | 2020-12-08 |
| 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 | 2020-09-18 | 2020-12-08 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-12-13 | 2020-07-15 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 9 — Asset management | 2016-12-13 | 2020-07-15 |
| Celestial Securities Limited 時富證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-12-13 | 2020-07-15 |
| Celestial Commodities Limited 時富商品有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-12-13 | 2020-07-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-15 | 2016-12-13 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-08-15 | 2016-12-13 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2004-03-22 | 2011-10-21 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2011-10-21 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2011-10-21 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-19 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-03-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-19 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-03-02 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-02-19 |
| Celestial Finance Limited 時富財務有限公司 |
Rep | Type 8 — Securities margin financing | present | 2004-03-15 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-19 |