Ivy Pik Shan Lock
駱碧珊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ivy Pik Shan Lock (駱碧珊), a licensed former licensee with CE reference AIU532. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-20 | 2013-01-07 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-05-20 | 2013-01-07 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-01-06 | 2011-05-12 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-23 | 2009-05-11 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-06-23 | 2009-05-11 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-05-29 | 2009-05-11 |
| Joy Silver Limited 喜銀有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-04-19 | 2008-05-14 |
| CSC Asia Limited 群益亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-06-23 | 2006-03-31 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-06-11 | 2004-01-16 |