Kwok, Kit Ying 郭潔凝
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 | First Sentier Investors (Hong Kong) Limited | Rep | Asset management | 2021-08-04 | 2022-06-20 | Rep | Dealing in securities | 2021-08-04 | 2022-06-20 | Rep | Advising on securities | 2021-08-17 | 2022-06-20 | RO | Advising on securities | 2022-06-20 | RO | Asset management | 2022-06-20 | RO | Dealing in securities | 2022-06-20 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2016-07-20 | 2019-08-14 | Rep | Asset management | 2017-08-17 | 2019-08-14 |
| 3 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2019-08-14 |
| 4 | Goldman Sachs Asset Management (Hong Kong) Limited | Rep | Asset management | 2019-05-30 | 2021-06-10 | Rep | Dealing in securities | 2019-05-30 | 2021-06-10 |
| 5 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2016-07-20 | 2016-10-10 |
| 6 | Moody's Investors Service Hong Kong Limited | Rep | Credit rating services | 2011-09-08 | 2015-06-06 |
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