Wai Yin Mok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yin Mok (莫慧賢), a licensed Representative with CE reference AHX029. Currently licensed at 1 firm(s): LGT Investment Management (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.0 years of SFC licence history. Total licence records on file: 9.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2013-06-27 | present |
| LGT Investment Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2013-06-27 | present |
| LGT Investment Management (Asia) Limited | Rep | Type 9 - Asset management | 2013-06-27 | present |
| Julius Baer (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-03-08 | 2011-12-31 |
| Julius Baer (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-09-29 | 2011-12-31 |
| Julius Baer (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2010-09-29 | 2011-12-31 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2010-06-14 | 2010-09-17 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 - Asset management | 2010-06-14 | 2010-09-17 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2005-01-14 | 2010-09-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Yin 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. See the detailed formula.