Kwok Wai Leung
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wai Leung (梁國威), a licensed Responsible Officer with CE reference AFB193. Currently licensed at 1 firm(s): Smart Empire Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.6 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Smart Empire Asset Management Limited 明堡資產管理有限公司 |
RO | Type 4 - Advising on securities | 2019-11-26 | present |
| Smart Empire Asset Management Limited 明堡資產管理有限公司 |
RO | Type 9 - Asset management | 2019-02-20 | present |
| ALPS Capital Management Limited | Rep | Type 1 - Dealing in securities | 2014-01-03 | 2017-09-07 |
| ALPS Capital Management Limited | Rep | Type 4 - Advising on securities | 2012-09-10 | 2017-09-07 |
| ALPS Capital Management Limited | Rep | Type 9 - Asset management | 2012-09-10 | 2017-09-07 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-07-05 | 2012-07-20 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2011-07-05 | 2012-07-20 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 - Asset management | 2011-07-05 | 2012-07-20 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2005-05-05 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-05-05 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-05-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwok Wai Leung during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.