LO Kwok Loong, Sammy

羅國龍

CE AAH920Licensed IndividualResponsible OfficerSFO licence active

LO Kwok Loong, Sammy (CE number AAH920) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-26. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	CFTC Asset Management (Hong Kong) Limited 中芯聚源資產管理(香港)有限公司

Licence Record (8)

2025-11-28 – present Current

CFTC Asset Management (Hong Kong) Limited RO

RA 4 RA 9

2025-09-29 – 2025-11-28

CFTC Asset Management (Hong Kong) Limited Rep

RA 4 RA 9

2024-10-14 – 2025-09-01

AA Capital Limited RO

RA 4 RA 9

2023-04-04 – 2024-05-27

NFH Securities and Futures Limited Rep

RA 1 RA 2

2009-11-13 – 2022-10-21

First Shanghai Securities Limited RO

RA 1

2007-11-30 – 2022-10-21

First Shanghai Futures Limited RO

RA 2 RA 5

2003-04-26 – 2009-11-13

First Shanghai Securities Limited Rep

RA 1

2003-04-26 – 2007-11-30

First Shanghai Futures Limited Rep

RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAH920