Kwok Fung Wan
溫國峰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Fung Wan (溫國峰), a licensed Responsible Officer with CE reference AEG678. Currently licensed at 1 firm(s): Kudos Summit Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Kudos Summit Asset Management Limited 森翹資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-07-10 | present |
| Kudos Summit Asset Management Limited 森翹資產管理有限公司 |
RO | Type 9 — Asset management | 2023-07-10 | present |
| Getta Securities Limited 皆得證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-08 | 2023-05-31 |
| Getta Securities Limited 皆得證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-01-08 | 2023-05-31 |
| Getta Securities Limited 皆得證券有限公司 |
RO | Type 4 — Advising on securities | 2019-01-08 | 2023-05-31 |
| Getta Asset Management Limited 皆得資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-08-06 | 2023-05-31 |
| Getta Asset Management Limited 皆得資產管理有限公司 |
RO | Type 9 — Asset management | 2017-03-21 | 2023-05-31 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-25 | 2016-11-25 |
| Kaiser Futures Limited 嘉信期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-05-25 | 2016-11-25 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-03 | 2011-04-01 |
| Sun Yi Company Limited 新而有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-03 | 2011-04-01 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-10-13 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2008-10-13 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-09 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-09 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-09 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-06-09 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-09 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-09 |