Kwan, David Yat Tung 關日東
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 | BGC SECURITIES (HONG KONG) LLC | Rep | Dealing in futures contracts | 2012-10-16 | 2012-11-26 | Rep | Dealing in securities | 2012-10-16 | 2012-11-26 | RO | Dealing in futures contracts | 2012-11-26 | 2016-12-31 | RO | Dealing in securities | 2012-11-26 | 2016-12-31 |
| 2 | Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | 2003-12-10 | Rep | Advising on securities | 2003-12-10 | Rep | Asset management | 2003-12-10 | Rep | Dealing in securities | 2003-12-10 |
| 3 | MIB FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-05-25 | 2007-04-25 | RO | Dealing in futures contracts | 2007-04-25 | 2012-05-24 |
| 4 | MIB SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-05-25 | 2006-09-21 | RO | Dealing in securities | 2006-09-21 | 2012-05-24 |
| 5 | RBS Asia Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2003-12-10 | Rep | Advising on securities | 2003-12-10 | Rep | Asset management | 2003-12-10 | Rep | Dealing in securities | 2003-12-10 |
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