Kai Ming Kwan
關繼明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Ming Kwan (關繼明), a licensed former licensee with CE reference AAW394. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Stockwell Securities Limited 常匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-07-01 | 2022-08-31 |
| Stockwell Securities Limited 常匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-04 | 2022-06-30 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-06-30 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-27 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-27 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-27 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-27 |