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LO Wan Wai

盧運威
CE AGR427Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LO Wan Wai (CE number AGR427) 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 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
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 OfficerSparc Capital Management Limited
宏德資產管理有限公司

Licence Record (8)

2026-06-02 – present Current
Sparc Capital Management Limited RO
RA 4 RA 9
2019-01-17 – 2026-04-30
Siegfried Asset Management Limited RO
RA 1 RA 4 RA 9
2015-02-11 – 2018-12-31
HuaAn Asset Management (Hong Kong) Limited Rep
RA 4 RA 9
2010-11-19 – 2012-09-01
MIS Services Limited Rep
RA 9
2007-07-05 – 2008-05-01
Manulife Investment Management (Hong Kong) Limited Rep
RA 4 RA 5 RA 9
2006-06-16 – 2006-11-10
PineBridge Investments Hong Kong Limited Rep
RA 1
2006-06-16 – 2006-11-10
PineBridge Investments Asia Limited Rep
RA 4 RA 9
2003-04-01 – 2004-04-01
Principal Global Investors (Hong Kong) Limited Rep
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/AGR427