Kok, Cho Yan 谷祖欣
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 | 2010-10-20 | 2011-09-16 | Rep | Dealing in futures contracts | 2011-01-10 | 2011-09-16 |
| 2 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2011-11-04 | 2015-01-03 |
| 3 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2012-12-07 | 2015-01-03 |
| 4 | CHIEF SECURITIES LIMITED | Rep | Dealing in securities | 2009-11-11 | 2010-09-18 |
| 5 | CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-09-30 | 2011-10-18 |
| 6 | CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2011-09-30 | 2011-10-18 |
| 7 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2015-01-14 | 2021-07-20 |
| 8 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2015-01-14 | 2021-07-20 |
| 9 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2011-11-04 | 2015-01-03 |
| 10 | Monex Boom Securities (H.K.) Limited | Rep | Automated trading services | 2008-04-29 | 2009-08-12 | Rep | Dealing in securities | 2008-04-29 | 2009-08-12 |
| 11 | NOAH HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in securities | 2021-09-27 | 2022-06-27 | Rep | Advising on securities | 2021-11-30 | 2022-06-27 |
| 12 | Win Securities Limited | Rep | Automated trading services | 2008-04-29 | 2009-08-12 | Rep | Dealing in securities | 2008-04-29 | 2009-08-12 |
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