Wong, Wai Yan (SFC:AGG935) 黃惠恩
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 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2010-11-20 | 2013-06-21 | RO | Dealing in securities | 2013-06-21 | 2016-01-01 |
| 2 | DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | Dealing in securities | 2010-11-02 | 2013-06-21 | RO | Dealing in securities | 2013-06-21 | 2013-11-13 | RO | Dealing in securities | 2015-03-02 | 2016-01-01 |
| 3 | KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | Advising on corporate finance | 2004-01-08 | Rep | Advising on securities | 2004-01-08 | Rep | Asset management | 2004-01-08 | Rep | Dealing in securities | 2007-04-02 | RO | Dealing in securities | 2007-04-02 | 2010-11-20 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2017-09-14 | |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2017-09-14 |
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