Mok, Wai Man Derek 莫偉民
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 | BEA Union Investment Management Limited | Rep | Advising on securities | 2007-11-05 | 2008-01-08 | Rep | Asset management | 2007-11-05 | 2008-01-08 | Rep | Dealing in securities | 2007-11-05 | 2008-01-08 |
| 2 | China Securities (International) Asset Management Company Limited | Rep | Asset management | 2014-04-30 | 2014-08-13 | RO | Advising on securities | 2014-08-13 | 2015-01-26 | RO | Asset management | 2014-08-13 | 2015-01-26 |
| 3 | Fubon Fund Management (Hong Kong) Limited | Rep | Advising on securities | 2019-03-27 | 2019-08-07 | Rep | Asset management | 2019-03-27 | 2019-08-07 | Rep | Dealing in securities | 2019-03-27 | 2019-08-07 | RO | Advising on securities | 2019-08-07 | RO | Asset management | 2019-08-07 | RO | Dealing in securities | 2019-08-07 |
| 4 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | Asset management | 2008-01-22 | 2010-12-15 | Rep | Advising on securities | 2008-03-14 | 2010-12-15 |
| 5 | HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | Rep | Advising on securities | 2011-01-05 | 2014-03-20 | Rep | Asset management | 2011-01-05 | 2014-03-20 | Rep | Advising on futures contracts | 2012-10-31 | 2014-03-20 |
| 6 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2011-01-05 | 2014-03-20 | Rep | Asset management | 2011-01-05 | 2014-03-20 | Rep | Advising on futures contracts | 2012-10-31 | 2014-03-20 |
| 7 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | Advising on securities | 2011-01-05 | 2014-03-20 | Rep | Asset management | 2011-01-05 | 2014-03-20 |
| 8 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2017-03-22 | 2018-12-31 | Rep | Asset management | 2017-03-22 | 2018-12-31 | Rep | Dealing in securities | 2017-03-22 | 2018-12-31 |
| 9 | RHB ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2015-01-28 | 2015-03-25 | Rep | Asset management | 2015-01-28 | 2015-03-25 | RO | Advising on securities | 2015-03-25 | 2016-09-27 | RO | Asset management | 2015-03-25 | 2016-09-27 | RO | Dealing in securities | 2015-03-25 | 2016-09-27 |
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