Chak, Alan Kwok Fai 翟國輝
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 | CMB International Securities Limited | Rep | Advising on securities | 2020-12-16 | |
2 | CMB International Securities Limited | Rep | Dealing in securities | 2020-12-16 | |
3 | CMB International Global Markets Limited | RO | Dealing in securities | 2022-07-14 | |
4 | CMB International Global Markets Limited | Rep | Advising on securities | 2022-09-06 | |
5 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-09-13 | |
6 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Asset management | 2003-09-13 | |
7 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Automated trading services | 2003-09-13 | |
8 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Asset management | 2003-09-13 | |
9 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Automated trading services | 2003-09-13 | |
10 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on corporate finance | 2003-09-13 | |
11 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Advising on futures contracts | 2003-12-06 | |
12 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2003-12-06 | |
13 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2004-02-09 | |
14 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-02-09 | |
15 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Automated trading services | 2004-02-09 | |
16 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Dealing in securities | 2004-02-09 | |
17 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2003-09-17 | 2004-02-09 |
18 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-12-06 | 2004-02-09 |
19 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2003-12-06 | 2004-02-09 |
20 | CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2004-04-21 | 2006-08-12 |
21 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-09-04 | 2008-04-24 |
22 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2006-09-21 | 2008-04-24 |
23 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2007-11-19 | 2008-04-24 |
24 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-11-19 | 2008-04-24 |
25 | CLSA FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-06-02 | 2010-11-23 |
26 | CLSA LIMITED | Rep | Dealing in securities | 2008-06-02 | 2010-11-23 |
27 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-01-03 | 2013-03-16 |
28 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-01-03 | 2013-03-16 |
29 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-01-03 | 2013-03-16 |
30 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-01-03 | 2013-03-16 |
31 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2013-05-29 | 2016-06-29 |
32 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2013-05-29 | 2016-06-29 |
33 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-05-29 | 2016-06-29 |
34 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Automated trading services | 2014-07-08 | 2016-06-29 |
35 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2016-10-03 | 2017-12-22 |
36 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2016-10-03 | 2017-12-22 |
37 | CLSA LIMITED | Rep | Dealing in securities | 2018-03-12 | 2019-12-11 |
38 | CMB International Global Markets Limited | Rep | Dealing in securities | 2021-09-17 | 2022-07-14 |
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