Kwok, Jim Hing Yip 郭興業
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 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2006-07-21 | 2012-08-03 |
| 2 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2006-09-12 | 2012-08-03 |
| 3 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2006-09-12 | 2012-08-03 |
| 4 | TOPAZ CAPITAL MANAGEMENT LIMITED | RO | Asset management | 2016-11-09 | |
| 5 | Topaz Financial Group Limited | Rep | Dealing in futures contracts | 2012-11-22 | 2013-03-27 | Rep | Dealing in securities | 2012-11-22 | 2013-03-27 | RO | Dealing in futures contracts | 2013-03-27 | RO | Dealing in securities | 2013-03-27 | RO | Advising on futures contracts | 2019-04-25 | RO | Advising on securities | 2019-04-25 |
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