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HO Lok Yan

何樂昕
CE ANL071Licensed IndividualSFO licence active
Official SFC record

HO Lok Yan (CE number ANL071) is an individual licensed by the Hong Kong SFC. First licensed on 2006-05-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 6 (Corporate finance).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeFirst Shanghai Capital Limited
第一上海融資有限公司

Licence Record (10)

2026-05-18 – present Current
First Shanghai Capital Limited Rep
RA 6
2024-11-11 – 2026-05-01
Hang Tai Securities Limited RO
RA 1 RA 6
2019-05-31 – 2024-10-31
LY Capital Limited RO
RA 1 RA 6
2017-08-09 – 2019-05-28
Sinolink Securities (Hong Kong) Company Limited Rep
RA 1 RA 6
2016-10-11 – 2016-11-04
CLC International Limited RO
RA 6
2014-07-08 – 2017-07-24
CLC International Limited Rep
RA 1 RA 6
2011-05-20 – 2014-06-30
GF Capital (Hong Kong) Limited Rep
RA 6
2009-10-19 – 2010-10-01
China Merchants Securities (HK) Co., Limited Rep
RA 6
2007-02-22 – 2009-10-08
Mason Securities Limited Rep
RA 1 RA 6
2006-05-29 – 2007-01-24
Southwest Securities (HK) Capital Limited Rep
RA 1 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/ANL071