Chak, Alan Kwok Fai 翟國輝

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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 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on corporate finance 2003-09-13
J.P. MORGAN SECURITIES (FAR EAST) LIMITED Rep 2003-09-13
2 J.P. MORGAN FUTURES HONG KONG LIMITED Rep Advising on futures contracts 2003-12-06
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2003-12-06 2004-02-09
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2007-11-19 2008-04-24
3 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on securities 2004-02-09
J.P. MORGAN SECURITIES (FAR EAST) LIMITED Rep 2003-09-17 2004-02-09
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2006-09-21 2008-04-24
CMB International Securities Limited Rep 2020-12-16
CMB International Global Markets Limited Rep 2022-09-06
4 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Asset management 2003-09-13
J.P. MORGAN FUTURES HONG KONG LIMITED Rep 2003-09-13
5 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Automated trading services 2003-09-13
J.P. MORGAN FUTURES HONG KONG LIMITED Rep 2003-09-13
J.P. MORGAN SECURITIES (FAR EAST) LIMITED Rep 2004-02-09
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2014-07-08 2016-06-29
6 J.P. MORGAN FUTURES HONG KONG LIMITED Rep Dealing in futures contracts 2003-12-06
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2003-12-06 2004-02-09
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2007-11-19 2008-04-24
CLSA FUTURES LIMITED Rep 2008-06-02 2010-11-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep 2011-01-03 2013-03-16
NOMURA SECURITIES (HONG KONG) LIMITED Rep 2011-01-03 2013-03-16
GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep 2013-05-29 2016-06-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep 2016-10-03 2017-12-22
7 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Dealing in securities 2004-02-09
J.P. MORGAN SECURITIES (FAR EAST) LIMITED Rep 2004-02-09
CGS International Securities Hong Kong Limited Rep 2004-04-21 2006-08-12
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2006-09-04 2008-04-24
CLSA LIMITED Rep 2008-06-02 2010-11-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep 2011-01-03 2013-03-16
NOMURA SECURITIES (HONG KONG) LIMITED Rep 2011-01-03 2013-03-16
GOLDMAN SACHS (ASIA) L.L.C. Rep 2013-05-29 2016-06-29
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2013-05-29 2016-06-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep 2016-10-03 2017-12-22
CLSA LIMITED Rep 2018-03-12 2019-12-11
CMB International Securities Limited Rep 2020-12-16
CMB International Global Markets Limited Rep 2021-09-17 2022-07-14
CMB International Global Markets Limited RO 2022-07-14

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