Kong, Kar Wai Thomas 江家衛
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 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2013-10-03 | 2015-06-16 | Rep | Dealing in futures contracts | 2020-11-24 | 2021-02-08 | RO | Dealing in futures contracts | 2021-02-08 | 2021-10-28 | Rep | Dealing in futures contracts | 2021-10-28 | 2023-06-07 |
| 2 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2013-10-03 | 2015-06-16 | Rep | Advising on securities | 2014-01-10 | 2015-06-16 | Rep | Dealing in securities | 2020-11-24 | 2021-02-08 | RO | Dealing in securities | 2021-02-08 | 2021-10-28 | Rep | Dealing in securities | 2021-10-28 | 2023-06-07 |
| 3 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2015-12-23 | 2017-08-30 | Rep | Dealing in futures contracts | 2015-12-23 | 2017-08-30 | Rep | Dealing in securities | 2015-12-23 | 2017-08-30 |
| 4 | SC Lowy Asset Management (HK) Limited | Rep | Asset management | 2015-06-16 | 2015-10-19 |
| 5 | SC Lowy Financial (HK) Limited | Rep | Dealing in securities | 2015-06-16 | 2015-10-19 |
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