Herbert Wing Fung Kwan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Herbert Wing Fung Kwan ( ), a licensed former licensee with CE reference ANX520. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
RO | Type 1 — Dealing in securities | 2022-09-26 | 2022-12-16 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
RO | Type 4 — Advising on securities | 2022-09-26 | 2022-12-16 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
RO | Type 9 — Asset management | 2022-09-26 | 2022-12-16 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
Rep | Type 1 — Dealing in securities | 2022-08-09 | 2022-09-26 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
Rep | Type 4 — Advising on securities | 2022-08-09 | 2022-09-26 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
Rep | Type 9 — Asset management | 2022-08-09 | 2022-09-26 |
| Neuberger Berman Asia Limited | Rep | Type 1 — Dealing in securities | 2008-12-18 | 2009-03-10 |
| Neuberger Berman Asia Limited | Rep | Type 4 — Advising on securities | 2008-12-18 | 2009-03-10 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-06 | 2008-11-22 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-06 | 2008-11-22 |