Kei Chi Kwok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kei Chi Kwok (郭基智), a licensed Responsible Officer with CE reference AFJ617. Currently licensed at 3 firm(s): CMBC Securities Company Limited, CMBC International Futures Company Limited, CMBC Asset Management Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 9 - Asset management. This person has 23.0 years of SFC licence history. Total licence records on file: 27.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-05-20 | present |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2025-05-20 | present |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
RO | Type 4 - Advising on securities | 2025-05-20 | present |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 4 - Advising on securities | 2025-05-20 | present |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
RO | Type 9 - Asset management | 2025-05-20 | present |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-03-06 | 2025-05-20 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2025-03-06 | 2025-05-20 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2025-03-06 | 2025-05-20 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 4 - Advising on securities | 2025-03-06 | 2025-05-20 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
Rep | Type 9 - Asset management | 2025-03-06 | 2025-05-20 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
RO | Type 4 - Advising on securities | 2015-04-14 | 2025-01-15 |
| China Industrial Securities International Asset Management Limited 興證國際資產管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2013-06-03 | 2025-01-15 |
| China Industrial Securities International Futures Limited 興證國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2012-07-13 | 2025-01-15 |
| China Industrial Securities International Asset Management Limited 興證國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2012-04-27 | 2025-01-15 |
| China Industrial Securities International Asset Management Limited 興證國際資產管理有限公司 |
RO | Type 9 - Asset management | 2012-04-27 | 2025-01-15 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2012-01-06 | 2025-01-15 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 9 - Asset management | 2011-11-08 | 2011-12-06 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 4 - Advising on securities | 2011-09-09 | 2011-12-06 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 1 - Dealing in securities | 2011-05-11 | 2011-12-06 |
| CASH Asset Management Limited 時富資產管理有限公司 |
Rep | Type 9 - Asset management | 2008-10-27 | 2011-12-06 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-19 | 2011-12-06 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-11-19 | 2011-12-06 |
| I-Access Investors Limited 一通投資者有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-01-19 | 2007-10-15 |
| I-Access Investors Limited 一通投資者有限公司 |
RO | Type 1 - Dealing in securities | 2005-12-19 | 2007-10-15 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2003-10-22 | 2005-11-30 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 7 - Providing automated trading services | 2003-10-22 | 2004-02-19 |
| Celestial Finance Limited 時富財務有限公司 |
Rep | Type 8 - Securities margin financing | Pre-2003 | 2004-01-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kei Chi Kwok 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.