Kwok, Kei Chi 郭基智
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 | CASH ASSET MANAGEMENT LIMITED | Rep | Asset management | 2008-10-27 | 2011-12-06 |
| 2 | CASH Wealth Management Limited | RO | Dealing in securities | 2011-05-11 | 2011-12-06 | RO | Advising on securities | 2011-09-09 | 2011-12-06 | RO | Asset management | 2011-11-08 | 2011-12-06 |
| 3 | CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2007-11-19 | 2011-12-06 |
| 4 | CELESTIAL FINANCE LIMITED | Rep | Securities margin financing | 2004-01-09 | |
| 5 | CELESTIAL SECURITIES LIMITED | Rep | Automated trading services | 2003-10-22 | 2004-02-19 | Rep | Dealing in securities | 2003-10-22 | 2005-11-30 | Rep | Dealing in securities | 2007-11-19 | 2011-12-06 |
| 6 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2012-04-27 | 2025-01-15 | RO | Asset management | 2012-04-27 | 2025-01-15 | RO | Advising on futures contracts | 2013-06-03 | 2025-01-15 |
| 7 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | RO | Dealing in securities | 2012-01-06 | 2025-01-15 | RO | Advising on securities | 2015-04-14 | 2025-01-15 |
| 8 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2012-07-13 | 2025-01-15 |
| 9 | CMBC ASSET MANAGEMENT COMPANY LIMITED | Rep | Advising on securities | 2025-03-06 | 2025-05-20 | Rep | Asset management | 2025-03-06 | 2025-05-20 | RO | Advising on securities | 2025-05-20 | RO | Asset management | 2025-05-20 |
| 10 | CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2025-03-06 | 2025-05-20 | RO | Dealing in futures contracts | 2025-05-20 |
| 11 | CMBC SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2025-03-06 | 2025-05-20 | Rep | Dealing in securities | 2025-03-06 | 2025-05-20 | RO | Advising on securities | 2025-05-20 | RO | Dealing in securities | 2025-05-20 |
| 12 | I-ACCESS INVESTORS LIMITED | RO | Dealing in securities | 2005-12-19 | 2007-10-15 | Rep | Dealing in futures contracts | 2006-01-19 | 2007-10-15 |
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