Lok Shan Ho
何樂山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lok Shan Ho (何樂山), a licensed Representative with CE reference BJP426. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 16.
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 |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2024-10-30 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2024-10-30 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2024-09-24 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2024-09-24 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2024-09-24 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2024-09-24 | present |
| OurCrowd Capital (HK) Limited |
RO | Type 1 — Dealing in securities | 2023-09-29 | 2024-08-15 |
| OurCrowd Capital (HK) Limited |
RO | Type 4 — Advising on securities | 2023-09-29 | 2024-08-15 |
| CVP Capital Limited |
RO | Type 1 — Dealing in securities | 2018-10-02 | 2019-05-31 |
| CVP Capital Limited |
Rep | Type 1 — Dealing in securities | 2018-08-07 | 2018-10-02 |
| CVP Capital Limited |
Rep | Type 6 — Advising on corporate finance | 2018-08-07 | 2019-05-31 |
| CVP Capital Limited |
Rep | Type 4 — Advising on securities | 2018-07-31 | 2019-05-31 |
| Odyssey Asset Management Limited | RO | Type 1 — Dealing in securities | 2018-03-26 | 2018-06-05 |
| Odyssey Asset Management Limited | Rep | Type 4 — Advising on securities | 2017-10-03 | 2018-06-05 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-22 | 2017-08-27 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-05-22 | 2017-08-27 |