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LO Wai See

盧慧思
CE AMS011Licensed IndividualSFO licence active
Official SFC record

LO Wai See (CE number AMS011) is an individual licensed by the Hong Kong SFC. First licensed on 2005-12-23. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeAstrum Capital Management Limited
阿仕特朗資本管理有限公司

Licence Record (6)

2020-10-19 – present Current
Astrum Capital Management Limited Rep
RA 1 RA 2
2017-10-03 – 2020-09-22
KGI Asia Limited Rep
RA 1
2006-06-07 – 2017-10-02
KGI Asia Limited Rep
RA 1
2006-06-07 – 2020-09-22
KGI Futures (Hong Kong) Limited Rep
RA 2
2006-01-12 – 2006-06-01
Funderstone Futures Limited Rep
RA 2
2005-12-23 – 2006-06-01
Funderstone Securities Limited Rep
RA 1

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/AMS011