Kwan, Wing Lok 關榮樂
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 | CLSA RESEARCH LIMITED | Rep | Advising on securities | 2004-09-09 | 2009-03-04 |
| 2 | HSBC SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-01-09 | Rep | Advising on securities | 2004-01-09 | Rep | Asset management | 2004-01-09 | Rep | Dealing in securities | 2004-01-09 |
| 3 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in securities | 2004-04-16 | 2004-09-06 |
| 4 | Mirae Asset Securities (HK) Limited | Rep | Advising on securities | 2009-04-01 | 2012-10-25 | RO | Advising on securities | 2012-10-25 | 2013-06-30 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on securities | 2013-09-03 | 2017-06-14 |
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