Kwan Pok Chu
朱君博
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwan Pok Chu (朱君博), a licensed former licensee with CE reference AFM697. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-05-02 | 2013-01-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2011-05-17 | 2013-01-03 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2003-07-29 | 2006-05-15 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-05 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-07-29 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-05 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-05 |