Wong, Chak Wai (SFC:ACN129) 黃集蔚
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 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2018-06-07 | 2018-09-03 | Rep | Dealing in futures contracts | 2018-06-07 | 2018-09-03 | Rep | Dealing in securities | 2018-06-07 | 2018-09-03 | RO | Advising on securities | 2018-09-03 | 2022-01-25 | RO | Dealing in futures contracts | 2018-09-03 | 2022-01-25 | RO | Dealing in securities | 2018-09-03 | 2022-01-25 |
| 2 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2005-06-07 | 2005-07-20 | RO | Dealing in securities | 2005-07-20 | 2010-11-01 |
| 3 | GRAND CATHAY SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2014-07-29 | 2017-10-02 |
| 4 | KGI ASIA LIMITED | Rep | Advising on securities | 2013-01-09 | 2013-03-26 | Rep | Dealing in securities | 2013-01-09 | 2013-03-26 | RO | Advising on securities | 2013-03-26 | 2017-10-02 | RO | Dealing in securities | 2013-03-26 | 2017-10-02 | RO | Advising on securities | 2017-10-03 | 2018-05-05 | RO | Dealing in securities | 2017-10-03 | 2018-05-05 |
| 5 | KGI Asset Management Limited | RO | Advising on securities | 2015-05-04 | 2018-05-05 | RO | Dealing in securities | 2016-08-08 | 2018-05-05 | RO | Asset management | 2018-03-29 | 2018-05-05 |
| 6 | KGI CAPITAL ASIA LIMITED | RO | Advising on securities | 2014-07-29 | 2018-05-05 | RO | Dealing in securities | 2014-07-29 | 2018-05-05 | RO | Advising on corporate finance | 2018-03-29 | 2018-05-05 |
| 7 | KGI FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2018-03-29 | 2018-05-05 | RO | Dealing in futures contracts | 2018-03-29 | 2018-05-05 |
| 8 | KGI SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2013-07-26 | 2017-10-02 | RO | Advising on securities | 2014-07-29 | 2017-10-02 |
| 9 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | RO | Advising on securities | 2014-07-29 | 2017-10-02 | RO | Dealing in securities | 2014-07-29 | 2017-10-02 |
| 10 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Advising on securities | 2022-04-20 | 2022-11-14 | Rep | Dealing in securities | 2022-04-20 | 2022-11-14 | RO | Advising on securities | 2022-11-14 | RO | Dealing in securities | 2022-11-14 |
| 11 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2022-04-20 |
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