Lock, Ivy Pik Shan 駱碧珊
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2010-01-06 | 2011-05-12 |
| 2 | CSC ASIA LIMITED | Rep | Advising on corporate finance | 2004-06-23 | 2006-03-31 |
| 3 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2011-05-20 | 2013-01-07 | Rep | Dealing in securities | 2011-05-20 | 2013-01-07 |
| 4 | Joy Silver Limited | Rep | Advising on corporate finance | 2006-04-19 | 2008-05-14 |
| 5 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2008-05-29 | 2009-05-11 | Rep | Advising on securities | 2008-06-23 | 2009-05-11 | Rep | Dealing in securities | 2008-06-23 | 2009-05-11 |
| 6 | SOUTH CHINA CAPITAL LIMITED | Rep | Advising on corporate finance | 2003-06-11 | 2004-01-16 |
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