Kwong Chak Ho
何光澤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwong Chak Ho (何光澤), a licensed former licensee with CE reference AAB154. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-02-13 | 2005-07-27 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | 2003-10-29 | 2005-11-01 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
RO | Type 4 — Advising on securities | 2003-10-29 | 2005-11-01 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-09 | 2003-10-29 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | 2003-09-09 | 2003-10-29 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-07-17 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-07-17 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-07-17 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-07-17 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-07-17 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-07-17 |