Lo, Ricky Tak Fat 盧德發
证监会中央编号:ACL682
| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| ENLIGHTEN FUTURES LIMITED | RO | 期货合约交易 | 2009-09-11 | - |
| ENLIGHTEN SECURITIES LIMITED | Rep | 证券交易 | 2009-06-18 | - |
| PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED | RO | 就期货合约提供意见 | 2008-04-21 | 2008-10-01 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | RO | 期货合约交易 | 2005-02-02 | 2009-06-02 |
| Rep | 期货合约交易 | 2004-03-03 | 2005-02-02 | |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | 就机构融资提供意见 | 2003-04-01 | 2004-03-03 |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-03-03 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-03-03 | |
| Rep | 证券交易 | 2003-04-01 | 2009-06-02 |