Mok, Hiu Lam 莫曉籃
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 | CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | Dealing in securities | 2021-11-11 | 2022-07-31 |
| 2 | CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-12-02 | 2016-08-15 |
| 3 | CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2007-08-16 | 2010-02-19 | Rep | Dealing in securities | 2014-12-02 | 2016-08-15 |
| 4 | CMB INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2020-11-23 | 2021-11-01 |
| 5 | CMB International Securities Limited | Rep | Dealing in securities | 2020-11-23 | 2021-11-01 |
| 6 | Dongxing Securities (Hong Kong) Company Limited | Rep | Dealing in securities | 2016-08-22 | 2016-09-15 |
| 7 | EAST ASIA SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2003-09-29 | 2007-06-01 |
| 8 | KHG Asset Management Limited | RO | Advising on securities | 2022-08-15 | 2024-01-01 | RO | Asset management | 2022-08-15 | 2024-01-01 | RO | Dealing in securities | 2022-08-15 | 2024-01-01 |
| 9 | Leading Securities Company Limited | Rep | Advising on securities | 2017-04-27 | 2017-06-29 | Rep | Dealing in securities | 2017-04-27 | 2017-06-29 | RO | Advising on securities | 2017-06-29 | 2017-11-01 | RO | Dealing in securities | 2017-06-29 | 2017-11-01 |
| 10 | LIONHEART LIMITED | RO | Advising on securities | 2018-06-27 | 2018-12-31 | RO | Asset management | 2018-06-27 | 2018-12-31 |
| 11 | Renco Investments Limited | Rep | Advising on securities | 2019-05-24 | 2019-06-04 | Rep | Asset management | 2019-05-24 | 2019-06-04 | RO | Advising on securities | 2019-06-04 | 2020-07-30 | RO | Asset management | 2019-06-04 | 2020-07-30 |
| 12 | YUE XIU ASSET MANAGEMENT LIMITED | Rep | Asset management | 2014-09-15 | 2014-11-21 |
| 13 | YUE XIU FUTURES COMPANY LIMITED | Rep | Advising on futures contracts | 2014-03-03 | 2014-11-21 | Rep | Dealing in futures contracts | 2014-03-03 | 2014-11-21 |
| 14 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-12-22 | 2014-11-21 | Rep | Advising on securities | 2014-03-03 | 2014-11-21 |
| 15 | Zhongrong International Futures Co., Limited | Rep | Dealing in futures contracts | 2016-09-29 | 2017-04-22 |
| 16 | Zhongrong International Securities Company Limited | Rep | Dealing in securities | 2016-09-29 | 2016-11-04 | RO | Dealing in securities | 2016-11-04 | 2017-04-22 |
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