Chi Ming Mok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Ming Mok (莫志明), a licensed Responsible Officer with CE reference AAF129. Currently licensed at 1 firm(s): Wave Riders Investment Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 9 - Asset management. This person has 23.6 years of SFC licence history. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wave Riders Investment Management Limited 獲富投資管理有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | present |
| Wave Riders Investment Management Limited 獲富投資管理有限公司 |
RO | Type 5 - Advising on futures contracts | Pre-2003 | present |
| Wave Riders Investment Management Limited 獲富投資管理有限公司 |
RO | Type 9 - Asset management | Pre-2003 | present |
Worked alongside
The 3 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Ming Mok during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.
| Name | Shared firm | Overlap |
|---|---|---|
| Wai Tat Kong | Wave Riders Investment Management Limited | 2006–present |
| Kevin Kwok Keung Chan | Wave Riders Investment Management Limited | 2005–2009 |
| Wing Chu Lo | Wave Riders Investment Management Limited | 2006–2007 |