Kwok Kwan Yip
葉國均
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Kwan Yip (葉國均), a licensed former licensee with CE reference ABX510. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-18 | 2020-06-05 |
| Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-08-18 | 2020-06-05 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-21 | 2016-08-18 |
| Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-07-21 | 2016-08-18 |
| Soochow Securities International Capital Limited 東吳證券國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-08-24 | 2016-05-01 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-03-30 | 2015-04-28 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-03-30 | 2015-04-28 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-08 | 2011-03-30 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-03-08 | 2011-03-30 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2005-08-29 | 2011-03-01 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-08-29 | 2011-03-01 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-08-29 | 2011-03-01 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-12 | 2005-08-29 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-07-12 | 2005-08-29 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-07-12 | 2005-08-29 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-04-21 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | present | 2005-04-21 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-04-21 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 9 — Asset management | present | 2005-01-28 |