Marshal Wai Chun Lok
駱瑋浚
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Marshal Wai Chun Lok (駱瑋浚), a licensed former licensee with CE reference AGI950. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-27 | 2015-04-13 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-11-27 | 2015-04-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-26 | 2011-05-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-26 | 2011-05-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-05-26 | 2011-05-03 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-03-28 | 2010-02-27 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-20 | 2006-11-14 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-10-20 | 2006-11-14 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-26 | 2004-02-13 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-01-26 | 2004-02-13 |