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

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