Caness Siu Wai Lo
老小慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caness Siu Wai Lo (老小慧), a licensed former licensee with CE reference AFN514. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Karl-Thomson Commodities Company Limited 高信商品期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-28 | 2014-03-31 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-06 | 2014-03-31 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-26 |