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CHEUNG Ngar Lok, Alan

張雅樂
CE AFF115Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHEUNG Ngar Lok, Alan (CE number AFF115) 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 (1)

CapacityCompany / Institution
Responsible OfficerLumen Innovation Asset Management Limited

Licence Record (15)

2026-01-30 – present Current
Lumen Innovation Asset Management Limited RO
RA 4 RA 9
2025-12-03 – 2026-01-30
Lumen Innovation Asset Management Limited Rep
RA 4 RA 9
2023-02-17 – 2025-11-30
313 Capital Management Limited RO
RA 2 RA 4 RA 5 RA 9
2021-05-10 – 2022-07-10
Fortune Hill Asset Management Limited RO
RA 4 RA 9
2020-06-24 – 2021-04-30
Koala Securities Limited RO
RA 1 RA 4
2020-06-24 – 2021-04-30
Koala Capital Management Limited RO
RA 9
2020-05-12 – 2020-06-24
Koala Securities Limited Rep
RA 1 RA 4
2020-05-12 – 2020-06-24
Koala Capital Management Limited Rep
RA 9
2018-04-17 – 2020-05-11
Planetree Asset Management Limited RO
RA 9
2015-12-07 – 2020-05-11
Planetree Securities Limited RO
RA 1
2015-02-04 – 2015-10-08
Horizon Commodities and Futures Company Limited RO
RA 2
2012-12-19 – 2018-04-17
Planetree Asset Management Limited Rep
RA 9
2004-05-12 – 2020-05-11
Planetree Futures Limited RO
RA 2
2003-04-01 – 2015-12-07
Planetree Securities Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2015-12-07
Planetree Futures Limited Rep
RA 2 RA 5 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/AFF115