Kwok Wai Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wai Chan (陳國偉), a licensed Responsible Officer with CE reference ALG542. Currently licensed at 1 firm(s): Harmonia Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.0 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Harmonia Capital Limited 仁和資本有限公司 |
RO | Type 1 - Dealing in securities | 2019-12-09 | present |
| Harmonia Capital Limited 仁和資本有限公司 |
RO | Type 4 - Advising on securities | 2019-12-09 | present |
| Harmonia Capital Limited 仁和資本有限公司 |
RO | Type 9 - Asset management | 2019-12-09 | present |
| WealthQuay Asset Management Limited 華凱資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-11-27 | 2019-06-19 |
| WealthQuay Asset Management Limited 華凱資產管理有限公司 |
RO | Type 9 - Asset management | 2018-11-27 | 2019-06-19 |
| Rich Bay Securities Limited 富利證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-11-12 | 2019-06-19 |
| Rich Bay Securities Limited 富利證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-07-09 | 2019-06-19 |
| United Great International Investment Limited 滙偉國際投資有限公司 |
RO | Type 4 - Advising on securities | 2016-04-22 | 2017-08-28 |
| United Great International Investment Limited 滙偉國際投資有限公司 |
RO | Type 9 - Asset management | 2016-04-22 | 2017-08-28 |
| Natixis Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2008-10-27 | 2010-10-29 |
| Natixis Asia Limited | Rep | Type 5 - Advising on futures contracts | 2008-10-27 | 2010-10-29 |
| Natixis Asia Limited | Rep | Type 1 - Dealing in securities | 2008-03-25 | 2010-10-29 |
| Natixis Asia Limited | Rep | Type 4 - Advising on securities | 2008-03-25 | 2010-10-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2004-09-27 | 2008-02-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2004-09-27 | 2008-02-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2004-09-27 | 2008-02-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2004-09-27 | 2008-02-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwok Wai Chan 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.