Kwok, Chi Hung (SFC:ABW753) 郭熾雄
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 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2014-01-06 | Rep | Dealing in securities | 2014-01-06 | Rep | Leveraged foreign exchange trading | 2014-01-06 | 2014-11-21 | Rep | Advising on securities | 2018-09-06 |
| 2 | HSBC BROKING (CHINA) LIMITED | RO | Dealing in securities | 2009-12-24 | 2013-12-13 |
| 3 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2010-03-16 | RO | Leveraged foreign exchange trading | 2010-03-16 | 2013-07-08 | Rep | Leveraged foreign exchange trading | 2013-07-08 | 2013-12-13 |
| 4 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-08-05 | Rep | Asset management | 2004-08-05 | Rep | Dealing in futures contracts | 2010-03-16 | RO | Dealing in futures contracts | 2010-03-16 | 2013-07-08 | Rep | Dealing in futures contracts | 2013-07-08 | 2013-12-13 |
| 5 | HSBC BROKING FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2010-03-16 | 2013-01-22 |
| 6 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | Rep | Advising on corporate finance | 2004-08-05 | Rep | Advising on securities | 2004-08-05 | Rep | Asset management | 2004-08-05 | Rep | Dealing in securities | 2006-09-04 | RO | Dealing in securities | 2006-09-04 | 2013-07-08 | Rep | Dealing in securities | 2013-07-08 | 2013-12-13 |
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