Kwok, Shiu Man 郭兆文
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 | CNCB (Hong Kong) Capital Limited | RO | Asset management | 2011-08-15 | 2012-05-08 |
| 2 | Old Peak Capital Limited | RO | Advising on securities | 2016-01-14 | 2016-11-11 | RO | Asset management | 2016-01-14 | 2016-11-11 |
| 3 | Partners Asset Management (HK) Limited | Rep | Asset management | 2012-10-29 | 2012-11-19 | RO | Asset management | 2012-11-19 | 2014-08-01 | RO | Advising on securities | 2013-11-20 | 2014-08-01 | Rep | Advising on securities | 2016-11-16 | 2016-11-25 | Rep | Asset management | 2016-11-16 | 2016-11-25 | RO | Advising on securities | 2016-11-25 | RO | Asset management | 2016-11-25 |
| 4 | PARTNERS CAPITAL SECURITIES LIMITED | Rep | Dealing in securities | 2019-03-11 | |
| 5 | SIFT CAPITAL PARTNERS LIMITED | Rep | Asset management | 2014-08-06 | 2014-09-08 | RO | Asset management | 2014-09-08 | 2015-12-31 |
| 6 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | RO | Asset management | 2012-05-29 | 2012-10-22 |
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