Hing Yip Kwok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hing Yip Kwok (郭興業), a licensed Responsible Officer with CE reference ANR615. Currently licensed at 2 firm(s): Topaz Financial Group Limited, Topaz Capital Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 9 - Asset management. This person has 19.8 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 4 - Advising on securities | 2019-04-25 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 5 - Advising on futures contracts | 2019-04-25 | present |
| Topaz Capital Management Limited 瑭明資本管理有限公司 |
RO | Type 9 - Asset management | 2016-11-09 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 1 - Dealing in securities | 2013-03-27 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 2 - Dealing in futures contracts | 2013-03-27 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-22 | 2013-03-27 |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-11-22 | 2013-03-27 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-12 | 2012-08-03 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-09-12 | 2012-08-03 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2006-07-21 | 2012-08-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Hing Yip 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.