Kai Tung Lo
盧啟東
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Tung Lo (盧啟東), a licensed Responsible Officer with CE reference AGV227. Currently licensed at 2 firm(s): Huaan Securities (Hong Kong) Brokerage Limited, Huaan Securities (Hong Kong) Corporate Finance Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huaan Securities (Hong Kong) Brokerage Limited 華安證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2026-01-16 | present |
| Huaan Securities (Hong Kong) Corporate Finance Limited 華安證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-09-19 | present |
| Patrons Capital Limited 百惠資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-03-05 | 2025-06-06 |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2022-07-07 | 2023-06-04 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-11-19 | 2023-06-04 |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2021-09-10 | 2022-07-07 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-09-10 | 2021-11-19 |
| Pine Peak Corporate Finance Limited 高通融資有限公司 |
RO | Type 1 — Dealing in securities | 2021-03-18 | 2021-05-31 |
| Pine Peak Corporate Finance Limited 高通融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-09-09 | 2021-05-31 |
| Pine Peak Corporate Finance Limited 高通融資有限公司 |
Rep | Type 1 — Dealing in securities | 2020-08-24 | 2021-03-18 |
| Pine Peak Corporate Finance Limited 高通融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-08-24 | 2020-09-09 |
| Fortune Financial Capital Limited 富強金融資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-07-28 | 2020-07-21 |
| Fortune (HK) Securities Limited 富強證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-28 | 2020-07-21 |
| Fortune Financial Capital Limited 富強金融資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-06-28 | 2017-07-28 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-10 | 2017-05-31 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-06-10 | 2017-05-31 |
| Arta Corporate Advisory Limited 裕承企業顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-01-20 | 2015-05-29 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-08-15 | 2013-12-21 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-01-07 | 2011-07-22 |