Pui Ying Kwok
郭佩瑛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pui Ying Kwok (郭佩瑛), a licensed former licensee with CE reference ABV967. This person has 13.0 years of SFC licence history. Total licence records on file: 19.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 4 - Advising on securities | 2016-05-20 | 2016-07-06 |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-04-22 | 2016-07-06 |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2013-09-30 | 2014-04-22 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2013-09-16 | 2016-07-06 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
RO | Type 5 - Advising on futures contracts | 2013-09-16 | 2016-07-06 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-03-14 | 2016-07-06 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 - Dealing in securities | 2012-11-27 | 2016-07-06 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2012-08-28 | 2016-07-06 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 5 - Advising on futures contracts | 2012-08-28 | 2016-07-06 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-04-10 | 2012-11-27 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-04-10 | 2013-09-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2012-01-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-01-10 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-01-10 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2012-01-10 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2010-12-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Pui Ying Kwok 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. See the detailed formula.