Mok, Wai Yip 莫偉業
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 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2012-11-16 | 2015-02-01 |
| 2 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2012-11-16 | 2015-02-01 |
| 3 | GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2015-03-30 | 2015-08-06 |
| 4 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2015-03-30 | 2015-08-06 |
| 5 | JS SECURITIES LIMITED (HK) | Rep | Advising on securities | 2017-07-11 | 2020-02-28 | Rep | Dealing in securities | 2017-07-11 | 2020-02-28 |
| 6 | SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED | Rep | Dealing in futures contracts | 2010-10-25 | 2012-09-18 |
| 7 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2015-02-10 | 2015-03-16 |
| 8 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2015-02-10 | 2015-03-16 |
| 9 | YUE XIU FUTURES COMPANY LIMITED | Rep | Advising on futures contracts | 2015-09-08 | 2017-05-31 | Rep | Dealing in futures contracts | 2015-09-08 | 2017-05-31 |
| 10 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2015-09-08 | 2017-05-31 | Rep | Dealing in securities | 2015-09-08 | 2017-05-31 |
| 11 | ZHONGHUI INTERNATIONAL FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2017-07-11 | 2017-07-31 | RO | Dealing in futures contracts | 2017-07-31 | 2020-12-31 | Rep | Dealing in futures contracts | 2020-12-31 | 2022-01-28 | RO | Dealing in futures contracts | 2022-01-28 |
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