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LO Wai Ming, Steven

盧偉明
CE ADL626Licensed IndividualExecutive OfficerNo active licence
Official SFC record

LO Wai Ming, Steven (CE number ADL626) is an individual licensed by the Hong Kong SFC. First licensed on 2009-01-30. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerCitibank, N.A.
花旗銀行

Licence Record (2)

2009-01-30 – 2016-01-16
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2
2009-01-30 – 2013-08-31
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 1 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/ADL626