Mok, Ka Fan 莫嘉勳
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 | AISANCE ASSET MANAGEMENT LIMITED | Rep | Asset management | 2011-10-27 | 2013-02-21 |
| 2 | KGI ASIA LIMITED | Rep | Dealing in securities | 2007-07-18 | 2015-11-01 |
| 3 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-07-18 | 2015-11-01 |
| 4 | KGI ASIA LIMITED | Rep | Advising on securities | 2010-07-28 | 2015-11-01 |
| 5 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Advising on securities | 2012-11-23 | 2015-11-01 |
| 6 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Dealing in securities | 2012-11-23 | 2015-11-01 |
| 7 | CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2015-11-10 | 2015-12-11 |
| 8 | CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2015-11-10 | 2015-12-11 |
| 9 | CATHAY SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2015-12-11 | 2016-11-30 |
| 10 | CATHAY SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2015-12-11 | 2016-11-30 |
| 11 | Yuanta Securities (Hong Kong) Company Limited | Rep | Advising on securities | 2016-12-09 | 2018-12-14 |
| 12 | Yuanta Securities (Hong Kong) Company Limited | Rep | Dealing in securities | 2016-12-09 | 2018-12-14 |
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