Wai Kwong Yuen
袁偉光
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Kwong Yuen (袁偉光), a licensed former licensee with CE reference AAD742. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-02 | 2019-06-12 |
| Ark Futures (Hong Kong) Limited 同舟期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-10-02 | 2019-06-12 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-10 | 2013-08-31 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-01-10 | 2013-08-31 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-07-16 | 2011-12-30 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-06 | 2011-12-30 |
| Winwin Securities Limited 共贏證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-17 | 2007-08-04 |
| Yicko Securities Limited 益高證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-06 | 2006-05-12 |
| Winwin Securities Limited 共贏證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-06-16 | 2005-03-31 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-05-01 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-01 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-01 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-05-01 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-01 |