Siu Kam Or
柯小琴
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Kam Or (柯小琴), a licensed Responsible Officer with CE reference AJD975. Currently licensed at 2 firm(s): Shun Loong Securities Company Limited, Capital Focus Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 22.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shun Loong Securities Company Limited 順隆證券行有限公司 |
RO | Type 1 — Dealing in securities | 2024-01-19 | present |
| Capital Focus Asset Management Limited 匯駿資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2024-01-16 | present |
| Capital Focus Asset Management Limited 匯駿資產管理有限公司 |
Rep | Type 9 — Asset management | 2024-01-16 | present |
| Shun Loong Securities Company Limited 順隆證券行有限公司 |
Rep | Type 1 — Dealing in securities | 2023-11-22 | 2024-01-19 |
| Morton Securities Limited 萬基證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-03 | 2023-10-06 |
| Morton Securities Limited 萬基證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-07 | 2020-11-03 |
| Quasar Securities Co., Limited 駿昇証券有限公司 |
RO | Type 1 — Dealing in securities | 2020-03-20 | 2020-09-18 |
| Quasar Asset Management Limited 駿昇資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-03-20 | 2020-09-18 |
| Profit Access Investments Limited 啓利投資有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-17 | 2019-06-09 |
| Profit Access Investments Limited 啓利投資有限公司 |
RO | Type 4 — Advising on securities | 2018-08-17 | 2019-06-09 |
| Morton Securities Limited 萬基證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-04-18 | 2018-08-15 |
| Greater China Securities Limited 大中華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-22 | 2016-03-16 |
| Verity Capital Limited 洵美資本有限公司 |
Rep | Type 9 — Asset management | 2016-02-22 | 2016-03-16 |
| Wei Da Asset Management Limited 偉達資產管理有限公司 |
RO | Type 9 — Asset management | 2015-10-26 | 2016-01-29 |
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-10-19 | 2016-01-29 |
| Verity Capital Limited 洵美資本有限公司 |
RO | Type 9 — Asset management | 2013-07-16 | 2015-05-11 |
| Greater China Securities Limited 大中華證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-02-22 | 2015-05-11 |
| Greater China Securities Limited 大中華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-02-01 | 2013-02-22 |
| China Demeter Securities Limited 國農證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-10-18 | 2012-12-20 |
| Jimei Securities Limited 集美證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-01-04 | 2010-09-30 |
| Jimei Securities Limited 集美證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-04-16 | 2009-10-16 |
| Shun Heng Securities Limited 信亨証券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-08 | 2008-06-11 |