Charles Law
羅澤行
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Law (羅澤行), a licensed former licensee with CE reference AEJ349. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Research Limited 中銀國際研究有限公司 |
Rep | Type 4 — Advising on securities | 2005-06-27 | 2008-09-09 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-06-09 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-04 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-04 |