Kwok, Ka In 郭嘉賢
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 | CMBC International Capital Limited | Rep | Advising on corporate finance | 2017-11-03 | 2017-12-07 | RO | Advising on corporate finance | 2017-12-07 | 2021-08-12 | Rep | Dealing in securities | 2018-01-18 | 2021-08-12 |
| 2 | CMBC SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2018-02-21 | 2021-08-12 |
| 3 | HAITONG INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2011-07-25 | 2017-06-30 | RO | Advising on corporate finance | 2017-06-30 | 2017-09-08 | Rep | Advising on corporate finance | 2021-09-16 | 2021-10-22 | RO | Advising on corporate finance | 2021-10-22 |
| 4 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2021-09-16 | Rep | Dealing in securities | 2021-09-16 |
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