Mok, Kon Lim 莫幹濂
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 | ABCI Securities Company Limited | Rep | Dealing in securities | 2009-06-16 | 2011-03-08 | RO | Dealing in securities | 2011-03-08 | 2012-06-11 |
| 2 | BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2007-07-10 | 2007-09-02 |
| 3 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2007-07-10 | 2007-09-02 |
| 4 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2005-08-01 | 2006-04-30 |
| 5 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2005-08-01 | 2006-04-30 | Rep | Dealing in securities | 2005-08-01 | 2006-04-30 |
| 6 | Futu Securities International (HONG KONG) Limited | Rep | Dealing in securities | 2019-12-13 | 2020-01-24 | RO | Advising on futures contracts | 2020-01-24 | RO | Advising on securities | 2020-01-24 | RO | Dealing in futures contracts | 2020-01-24 | RO | Dealing in securities | 2020-01-24 | RO | Leveraged foreign exchange trading | 2020-12-28 | RO | Asset management | 2022-03-10 |
| 7 | GUOYUAN ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Advising on securities | 2012-06-25 | 2015-07-23 |
| 8 | GUOYUAN FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2012-07-05 | 2015-07-23 | RO | Dealing in futures contracts | 2012-07-05 | 2015-07-23 |
| 9 | GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | RO | Advising on securities | 2012-06-25 | 2015-07-23 | RO | Dealing in securities | 2012-06-25 | 2015-07-23 |
| 10 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in futures contracts | 2008-02-12 | 2008-09-07 | Rep | Dealing in securities | 2008-02-12 | 2008-09-07 |
| 11 | HANTEC SECURITIES CO., LIMITED | Rep | Dealing in securities | 2019-09-13 | 2019-11-01 |
| 12 | KGI ASIA LIMITED | Rep | Dealing in securities | 2006-05-10 | 2007-07-01 | Rep | Dealing in securities | 2007-09-18 | 2008-01-07 |
| 13 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-05-10 | 2007-07-01 | Rep | Dealing in futures contracts | 2007-09-18 | 2008-01-07 |
| 14 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-05-10 | 2007-07-01 | Rep | Dealing in securities | 2007-09-18 | 2008-01-07 |
| 15 | KVB Kunlun Securities (HK) Limited | Rep | Dealing in securities | 2008-09-22 | 2009-06-14 |
| 16 | WESHINE SECURITIES COMPANY LIMITED | RO | Advising on securities | 2016-09-19 | 2017-08-31 | RO | Dealing in securities | 2016-09-19 | 2017-08-31 |
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