Yip, Kwok Kwan 葉國均
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 | DBS ASIA CAPITAL LIMITED | RO | Asset management | 2005-01-28 | RO | Advising on corporate finance | 2005-04-21 | RO | Advising on securities | 2005-04-21 | RO | Dealing in securities | 2005-04-21 |
| 2 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2011-03-08 | 2011-03-30 | Rep | Dealing in securities | 2011-03-08 | 2011-03-30 | RO | Advising on corporate finance | 2011-03-30 | 2015-04-28 | RO | Dealing in securities | 2011-03-30 | 2015-04-28 |
| 3 | ORIENT CAPITAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2016-07-21 | 2016-08-18 | RO | Advising on corporate finance | 2016-08-18 | 2020-06-05 |
| 4 | ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2016-07-21 | 2016-08-18 | RO | Dealing in securities | 2016-08-18 | 2020-06-05 |
| 5 | Soochow Securities International Capital Limited | RO | Advising on corporate finance | 2015-08-24 | 2016-05-01 |
| 6 | UOB ASIA (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2005-07-12 | 2005-08-29 | Rep | Advising on securities | 2005-07-12 | 2005-08-29 | Rep | Dealing in securities | 2005-07-12 | 2005-08-29 | RO | Advising on corporate finance | 2005-08-29 | 2011-03-01 | RO | Advising on securities | 2005-08-29 | 2011-03-01 | RO | Dealing in securities | 2005-08-29 | 2011-03-01 |
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