Kwok, Pui Ying 郭佩瑛
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 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2013-03-14 | 2016-07-06 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-04-10 | 2013-09-16 | RO | Advising on futures contracts | 2013-09-16 | 2016-07-06 | RO | Dealing in futures contracts | 2013-09-16 | 2016-07-06 |
| 3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2012-04-10 | 2012-11-27 | RO | Advising on futures contracts | 2012-08-28 | 2016-07-06 | RO | Dealing in futures contracts | 2012-08-28 | 2016-07-06 | RO | Dealing in securities | 2012-11-27 | 2016-07-06 | RO | Advising on securities | 2016-05-20 | 2016-07-06 |
| 4 | CICC US Securities (Hong Kong) Limited | RO | Dealing in securities | 2013-09-30 | 2014-04-22 | Rep | Dealing in securities | 2014-04-22 | 2016-07-06 |
| 5 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2004-02-11 | Rep | Advising on securities | 2004-02-11 | Rep | Automated trading services | 2012-01-10 | Rep | Dealing in securities | 2012-01-10 |
| 6 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2010-12-06 | Rep | Dealing in futures contracts | 2010-12-06 |
| 7 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2012-01-10 | Rep | Dealing in futures contracts | 2010-12-06 | 2012-01-10 |
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