Sau Wai Lo
羅秀慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sau Wai Lo (羅秀慧), a licensed former licensee with CE reference AFK054. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Arta Asset Management Limited 裕承資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-13 | 2020-07-20 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-13 | 2020-07-20 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-03-13 | 2020-07-20 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-18 | 2016-09-15 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-09-18 | 2016-09-15 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-15 | 2016-09-15 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-15 | 2016-09-15 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-03 | 2014-09-04 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2013-09-03 | 2014-09-04 |
| Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2010-06-09 | 2011-04-30 |
| Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2010-06-09 | 2011-04-30 |
| Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-20 | 2010-06-09 |
| Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-02-20 | 2010-06-09 |
| Tyche Group Limited 橋川有限公司 |
Rep | Type 4 — Advising on securities | 2003-07-09 | 2005-07-18 |
| Tyche Group Limited 橋川有限公司 |
Rep | Type 9 — Asset management | 2003-07-09 | 2005-07-18 |
| UKFP (Asia) HK Limited | Rep | Type 1 — Dealing in securities | present | 2003-07-08 |
| UKFP (Asia) HK Limited | Rep | Type 4 — Advising on securities | present | 2003-07-08 |
| UKFP (Asia) HK Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-07-08 |
| UKFP (Asia) HK Limited | Rep | Type 9 — Asset management | present | 2003-07-08 |