Lap Wa Kwok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lap Wa Kwok (郭立華), a licensed Representative with CE reference ARA667. Currently licensed at 3 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited, Guotai Junan FX Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities; Type 5 - Advising on futures contracts. This person has 17.7 years of SFC licence history. Total licence records on file: 13.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-12-17 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-12-17 | present |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2018-10-05 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2018-10-05 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-07-20 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-01-21 | 2020-12-17 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-01-21 | 2020-12-17 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-20 | 2019-01-21 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-07-20 | 2019-01-21 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2011-08-18 | 2015-02-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-03-16 | 2018-01-22 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-30 | 2018-01-22 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2008-05-30 | 2018-01-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lap Wa 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.