Steven Wing Shing Lo
盧永成
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Wing Shing Lo (盧永成), a licensed Responsible Officer with CE reference AEW978. Currently licensed at 2 firm(s): Yue Xiu Securities Company Limited, Yue Xiu Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
RO | Type 1 — Dealing in securities | 2023-03-16 | present |
| Yue Xiu Capital Limited 越秀融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-03-16 | present |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 1 — Dealing in securities | 2023-02-06 | 2023-03-16 |
| Yue Xiu Capital Limited 越秀融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-02-06 | 2023-03-16 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2016-07-21 | 2023-01-31 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-12 | 2016-07-21 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-02-12 | 2023-01-31 |
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-12-18 | 2016-01-31 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-09-25 | 2014-12-18 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-01-15 | 2014-09-04 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-10-31 | 2014-01-15 |
| Partners Capital International Limited 博大資本國際有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-11-15 | 2013-10-15 |
| Partners Capital International Limited 博大資本國際有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-11-06 | 2012-11-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-01-03 | 2012-05-11 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-07-23 | 2011-01-03 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-02 | 2010-06-24 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-12-28 | 2007-09-14 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-08-02 | 2006-12-28 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-08 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-02 |