Chak, Alan Kwok Fai 翟國輝
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 | CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2004-04-21 | 2006-08-12 |
| 2 | CLSA FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-06-02 | 2010-11-23 |
| 3 | CLSA LIMITED | Rep | Dealing in securities | 2008-06-02 | 2010-11-23 | Rep | Dealing in securities | 2018-03-12 | 2019-12-11 |
| 4 | CMB International Global Markets Limited | Rep | Dealing in securities | 2021-09-17 | 2022-07-14 | RO | Dealing in securities | 2022-07-14 | Rep | Advising on securities | 2022-09-06 |
| 5 | CMB International Securities Limited | Rep | Advising on securities | 2020-12-16 | Rep | Dealing in securities | 2020-12-16 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2013-05-29 | 2016-06-29 |
| 7 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2013-05-29 | 2016-06-29 | Rep | Automated trading services | 2014-07-08 | 2016-06-29 |
| 8 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-05-29 | 2016-06-29 |
| 9 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-09-13 | Rep | Asset management | 2003-09-13 | Rep | Automated trading services | 2003-09-13 | Rep | Advising on securities | 2004-02-09 | Rep | Dealing in securities | 2004-02-09 | Rep | Advising on futures contracts | 2003-12-06 | 2004-02-09 | Rep | Dealing in futures contracts | 2003-12-06 | 2004-02-09 | Rep | Dealing in securities | 2006-09-04 | 2008-04-24 | Rep | Advising on securities | 2006-09-21 | 2008-04-24 | Rep | Advising on futures contracts | 2007-11-19 | 2008-04-24 | Rep | Dealing in futures contracts | 2007-11-19 | 2008-04-24 |
| 10 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Asset management | 2003-09-13 | Rep | Automated trading services | 2003-09-13 | Rep | Advising on futures contracts | 2003-12-06 | Rep | Dealing in futures contracts | 2003-12-06 |
| 11 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on corporate finance | 2003-09-13 | Rep | Automated trading services | 2004-02-09 | Rep | Dealing in securities | 2004-02-09 | Rep | Advising on securities | 2003-09-17 | 2004-02-09 |
| 12 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-01-03 | 2013-03-16 | Rep | Dealing in securities | 2011-01-03 | 2013-03-16 | Rep | Dealing in futures contracts | 2016-10-03 | 2017-12-22 | Rep | Dealing in securities | 2016-10-03 | 2017-12-22 |
| 13 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-01-03 | 2013-03-16 | Rep | Dealing in securities | 2011-01-03 | 2013-03-16 |
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