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. This person has 2.8 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Herbert Wing Fung Kwan 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.