Lai Kwan Kwok
郭麗君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Kwan Kwok (郭麗君), CE reference ADW137. Currently licensed at 1 firm(s): BOCOM International Securities Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-12 | present |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-07-12 | present |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-03 | 2010-07-01 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-03 | 2008-12-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-07-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-03-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-11 |