Kwok, Ping Yam 郭秉鑫
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 | ASA SECURITIES LIMITED | Rep | Dealing in securities | 2010-11-10 | 2011-06-10 | Rep | Dealing in futures contracts | 2011-01-13 | 2011-06-10 |
| 2 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2007-06-26 | 2007-07-27 |
| 3 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2007-06-26 | 2007-07-27 |
| 4 | FWD Financial Planning Limited (HK) | Rep | Advising on securities | 2006-03-14 | 2007-05-31 |
| 5 | Huarong International Securities Limited | Rep | Dealing in securities | 2010-08-02 | 2010-11-06 |
| 6 | KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | Advising on securities | 2003-11-04 | 2004-06-24 |
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