Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LO Wing Shing, Steven

盧永成
CE AEW978Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LO Wing Shing, Steven (CE number AEW978) 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 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerYue Xiu Capital Limited
越秀融資有限公司
Responsible OfficerYue Xiu Securities Company Limited
越秀証券有限公司

Licence Record (17)

2023-03-16 – present Current
Yue Xiu Securities Company Limited RO
RA 1
2023-03-16 – present Current
Yue Xiu Capital Limited RO
RA 6
2023-02-06 – 2023-03-16
Yue Xiu Securities Company Limited Rep
RA 1
2023-02-06 – 2023-03-16
Yue Xiu Capital Limited Rep
RA 6
2016-02-12 – 2016-07-21
Southwest Securities (HK) Capital Limited Rep
RA 1
2016-02-12 – 2023-01-31
Southwest Securities (HK) Capital Limited RO
RA 1 RA 6
2014-12-18 – 2016-01-31
Haitong International Capital Limited RO
RA 6
2014-01-15 – 2014-09-04
China Merchants Securities (HK) Co., Limited RO
RA 6
2013-10-31 – 2014-01-15
China Merchants Securities (HK) Co., Limited Rep
RA 6
2012-11-15 – 2013-10-15
Partners Capital International Limited RO
RA 6
2012-11-06 – 2012-11-15
Partners Capital International Limited Rep
RA 6
2011-01-03 – 2012-05-11
BOCI Asia Limited RO
RA 6
2010-07-23 – 2011-01-03
BOCI Asia Limited Rep
RA 6
2007-10-02 – 2010-06-24
BNP Paribas Capital (Asia Pacific) Limited Rep
RA 6
2006-12-28 – 2007-09-14
Mega Capital (Asia) Company Limited RO
RA 6
2004-08-02 – 2006-12-28
Mega Capital (Asia) Company Limited Rep
RA 6
2003-04-01 – 2014-12-18
Haitong International Capital Limited Rep
RA 4 RA 6

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/AEW978