Kwok Piu Lock
駱國標
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Piu Lock (駱國標), a licensed Responsible Officer with CE reference AFX265. Currently licensed at 1 firm(s): Shacom Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shacom Securities Limited 上銀證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-31 | present |
| Shacom Securities Limited 上銀證券有限公司 |
RO | Type 4 — Advising on securities | 2019-01-31 | present |
| Shacom Securities Limited 上銀證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2019-01-31 |
| Shacom Securities Limited 上銀證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-28 |
| Shacom Securities Limited 上銀證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-25 |
| Shacom Securities Limited 上銀證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-11-25 |