Rex Sui Yan Lo
盧穗欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rex Sui Yan Lo (盧穗欣), a licensed Responsible Officer with CE reference AFU290. Currently licensed at 1 firm(s): BEA Union Investment Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BEA Union Investment Management Limited 東亞聯豐投資管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-04 | present |
| BEA Union Investment Management Limited 東亞聯豐投資管理有限公司 |
RO | Type 4 — Advising on securities | 2017-05-04 | present |
| BEA Union Investment Management Limited 東亞聯豐投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-24 | 2017-05-04 |
| BEA Union Investment Management Limited 東亞聯豐投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-24 | 2017-05-04 |
| China Securities (International) Asset Management Company Limited 中信建投(國際)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-04-14 | 2014-05-24 |
| China Securities (International) Asset Management Company Limited 中信建投(國際)資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-09-24 | 2014-05-24 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
RO | Type 1 — Dealing in securities | 2013-04-24 | 2014-05-24 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
RO | Type 4 — Advising on securities | 2013-04-24 | 2014-05-24 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2012-02-06 | 2012-05-28 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-09 | 2012-05-28 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-20 | 2011-09-03 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-02 | 2011-09-03 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
RO | Type 1 — Dealing in securities | 2008-02-15 | 2010-11-20 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-09 | 2008-02-15 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
RO | Type 1 — Dealing in securities | 2007-03-02 | 2007-11-09 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-03-02 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-08 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-08 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-08 |