Kwok, Lap Wa 郭立華
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 | BOCI SECURITIES LIMITED | Rep | Advising on securities | 2008-05-30 | 2018-01-22 | Rep | Dealing in securities | 2008-05-30 | 2018-01-22 | Rep | Dealing in futures contracts | 2009-03-16 | 2018-01-22 | Rep | Leveraged foreign exchange trading | 2011-08-18 | 2015-02-13 |
| 2 | GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-07-20 | 2019-01-21 | Rep | Advising on futures contracts | 2018-10-05 | RO | Dealing in futures contracts | 2019-01-21 | 2020-12-17 | Rep | Dealing in futures contracts | 2020-12-17 |
| 3 | Guotai Junan FX Limited | Rep | Leveraged foreign exchange trading | 2018-10-05 | |
| 4 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2018-07-20 | Rep | Dealing in securities | 2018-07-20 | 2019-01-21 | RO | Dealing in securities | 2019-01-21 | 2020-12-17 | Rep | Dealing in securities | 2020-12-17 |
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