Kwok, Ka Yiu (SFC:AFG950) 郭家耀
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 | Anli Securities Limited | Rep | Advising on securities | 2021-12-21 | 2023-04-03 | Rep | Dealing in securities | 2021-12-21 | 2023-04-03 |
| 2 | Atlantic Asset Management Limited | Rep | Advising on securities | 2014-01-08 | 2014-06-17 | Rep | Asset management | 2014-01-08 | 2016-08-09 | RO | Advising on securities | 2014-06-17 | 2019-01-15 | RO | Asset management | 2016-08-09 | 2019-01-15 |
| 3 | Glory Sun Securities Limited | Rep | Dealing in futures contracts | 2013-01-24 | 2019-01-15 | Rep | Dealing in securities | 2013-01-24 | 2019-01-15 |
| 4 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Advising on securities | 2009-08-12 | 2011-01-07 | Rep | Dealing in futures contracts | 2009-08-12 | 2011-05-03 | Rep | Dealing in securities | 2009-08-12 | 2011-05-03 |
| 5 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Asset management | 2012-05-18 | 2012-12-15 |
| 6 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-15 | 2012-12-15 |
| 7 | HAITONG INTERNATIONAL RESEARCH LIMITED | Rep | Advising on securities | 2005-03-30 | |
| 8 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2010-04-15 | 2012-12-15 | Rep | Dealing in securities | 2010-04-15 | 2012-12-15 |
| 9 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2005-04-18 | 2009-08-03 |
| 10 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2008-07-08 | 2009-08-03 |
| 11 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-10-04 | 2009-08-03 |
| 12 | VC International Asset Management Limited | Rep | Asset management | 2021-10-08 | 2021-12-02 | RO | Asset management | 2021-12-02 |
| 13 | ZHENRO ASSET MANAGEMENT CO. LIMITED | RO | Advising on securities | 2019-09-18 | 2021-08-31 | RO | Asset management | 2019-09-18 | 2021-08-31 |
| 14 | ZHENRO SECURITIES CO. LIMITED | Rep | Dealing in securities | 2020-08-20 | 2021-08-31 |
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