Mok, Gavin Dick Hung 莫湋苙
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 | MAGIC COMPASS FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-09-18 | 2005-12-15 |
| 2 | Prime Cdex Securities Limited | Rep | Dealing in securities | 2004-09-18 | 2005-12-15 |
| 3 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-06-27 | 2007-08-20 |
| 4 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-08-17 | 2007-08-20 |
| 5 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-08-23 | 2010-06-05 |
| 6 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-07-15 | 2012-05-01 |
| 7 | KGI ASIA LIMITED | Rep | Dealing in securities | 2010-07-15 | 2012-10-11 |
| 8 | KGI ASIA LIMITED | RO | Dealing in securities | 2012-10-11 | 2013-10-01 |
| 9 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-06-24 | 2014-08-09 |
| 10 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-06-24 | 2014-08-09 |
| 11 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Dealing in securities | 2014-08-15 | 2015-08-19 |
| 12 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Advising on securities | 2015-04-09 | 2015-08-19 |
| 13 | Crosby Securities Limited | Rep | Advising on securities | 2015-09-14 | 2017-05-31 |
| 14 | Crosby Securities Limited | Rep | Dealing in securities | 2015-09-14 | 2017-05-31 |
| 15 | Crosby Securities Limited | Rep | Advising on securities | 2019-03-18 | 2020-10-01 |
| 16 | Crosby Securities Limited | Rep | Dealing in securities | 2019-03-18 | 2020-10-01 |
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