Chan, Kwok Wai (SFC:ALG542) 陳國偉
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 | Harmonia Capital Limited | RO | Advising on securities | 2019-12-09 | |
| 2 | Harmonia Capital Limited | RO | Asset management | 2019-12-09 | |
| 3 | Harmonia Capital Limited | RO | Dealing in securities | 2019-12-09 | |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-09-27 | 2008-02-16 |
| 5 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2004-09-27 | 2008-02-16 |
| 6 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-09-27 | 2008-02-16 |
| 7 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-09-27 | 2008-02-16 |
| 8 | NATIXIS ASIA LIMITED | Rep | Advising on securities | 2008-03-25 | 2010-10-29 |
| 9 | NATIXIS ASIA LIMITED | Rep | Dealing in securities | 2008-03-25 | 2010-10-29 |
| 10 | NATIXIS ASIA LIMITED | Rep | Advising on futures contracts | 2008-10-27 | 2010-10-29 |
| 11 | NATIXIS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-10-27 | 2010-10-29 |
| 12 | UNITED GREAT INTERNATIONAL INVESTMENT LIMITED | RO | Advising on securities | 2016-04-22 | 2017-08-28 |
| 13 | UNITED GREAT INTERNATIONAL INVESTMENT LIMITED | RO | Asset management | 2016-04-22 | 2017-08-28 |
| 14 | Rich Bay Securities Limited | RO | Dealing in securities | 2018-07-09 | 2019-06-19 |
| 15 | Rich Bay Securities Limited | RO | Dealing in futures contracts | 2018-11-12 | 2019-06-19 |
| 16 | Mintai Asset Management Limited | RO | Advising on securities | 2018-11-27 | 2019-06-19 |
| 17 | Mintai Asset Management Limited | RO | Asset management | 2018-11-27 | 2019-06-19 |
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