Cathy Tung Wa Kok
郝冬樺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cathy Tung Wa Kok (郝冬樺), CE reference ANM194. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 — Asset management | 2017-12-29 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-04 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-08-04 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-04 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2017-08-04 | 2017-12-29 |
| 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 | 2015-01-29 | 2016-05-30 |
| 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 | 2006-07-13 | 2016-05-30 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 9 — Asset management | 2006-07-13 | 2008-12-31 |