Joseph Kwok Wai Chan
陳國偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Kwok Wai Chan (陳國偉), CE reference ADI545. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpine Corporate Finance Limited 鼎柏融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-12-21 | 2021-11-30 |
| Alpine Securities Limited 高山證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-07-31 | 2021-03-10 |
| Alpine Securities Limited 高山證券有限公司 |
RO | Type 4 — Advising on securities | 2018-07-31 | 2021-03-10 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-20 | 2017-08-16 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-20 | 2017-08-16 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-07-20 | 2017-08-16 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-10 | 2015-07-20 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-10 | 2015-07-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-10-14 | 2007-09-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2015-07-20 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2007-09-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-12 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-01-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-12 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-12 |