Kwok, Ka Yip 郭家業
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 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2003-07-19 | 2003-08-29 |
| 2 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2003-06-06 | Rep | Advising on securities | 2003-06-06 | Rep | Asset management | 2003-06-06 | Rep | Dealing in securities | 2003-06-06 | Rep | Dealing in securities | 2003-09-08 | 2015-03-25 |
| 3 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-06-06 | Rep | Asset management | 2003-06-06 | Rep | Dealing in futures contracts | 2003-06-06 | Rep | Dealing in futures contracts | 2003-11-18 | 2015-03-25 |
| 4 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-06-06 | Rep | Advising on securities | 2003-06-06 | Rep | Asset management | 2003-06-06 | Rep | Automated trading services | 2003-06-06 | Rep | Dealing in securities | 2003-06-06 |
| 5 | PRUDENTIAL BROKERAGE LIMITED | Rep | Dealing in securities | 2015-04-02 | 2019-12-31 |
| 6 | PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Dealing in futures contracts | 2015-04-02 | 2019-08-05 |
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