Mok, Sze Wai 莫施煒
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 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2021-08-02 | |
| 2 | CGS International Securities Hong Kong Limited | Rep | Advising on corporate finance | 2012-07-03 | 2014-12-30 | Rep | Dealing in securities | 2012-07-03 | 2014-12-30 |
| 3 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-05-15 | 2015-06-05 | Rep | Advising on securities | 2015-05-15 | 2015-06-05 |
| 4 | CLSA LIMITED | Rep | Dealing in securities | 2015-05-15 | 2015-06-05 |
| 5 | RBS Asia Corporate Finance Limited | Rep | Advising on corporate finance | 2009-04-08 | 2010-08-02 | Rep | Dealing in securities | 2009-04-08 | 2010-08-02 | Rep | Advising on corporate finance | 2011-08-01 | 2012-04-12 | Rep | Dealing in securities | 2011-08-01 | 2012-04-12 | Rep | Advising on corporate finance | 2012-05-28 | 2012-06-30 | Rep | Dealing in securities | 2012-05-28 | 2012-06-30 |
| 6 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-06-25 | 2017-01-31 | Rep | Advising on securities | 2015-06-25 | 2017-01-31 | Rep | Dealing in securities | 2015-06-25 | 2017-01-31 |
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