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LO Tak Fat, Ricky

盧德發
CE ACL682Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LO Tak Fat, Ricky (CE number ACL682) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. 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 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerEnlighten Futures Limited
名匯期貨有限公司
RepresentativeEnlighten Securities Limited
名匯證券有限公司

Licence Record (6)

2009-09-11 – present Current
Enlighten Futures Limited RO
RA 2
2009-06-18 – present Current
Enlighten Securities Limited Rep
RA 1
2008-04-21 – 2008-10-01
Piper Jaffray Asia Asset Management Limited RO
RA 5
2005-02-02 – 2009-06-02
Piper Jaffray Asia Futures Limited RO
RA 2
2004-03-03 – 2005-02-02
Piper Jaffray Asia Futures Limited Rep
RA 2
2003-04-01 – 2009-06-02
Piper Jaffray Asia Securities Limited Rep
RA 1 RA 4 RA 6 RA 9

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/ACL682