Cassandra Frances Wai Kwun Mak
麥慧君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cassandra Frances Wai Kwun Mak (麥慧君), a licensed former licensee with CE reference AMN771. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-22 | 2013-10-01 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-23 | 2011-09-09 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-08-23 | 2011-09-09 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-04-23 | 2008-08-20 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-04-03 | 2008-08-20 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2005-10-06 | 2008-02-23 |