Ernest Shiu Wing Mok
莫肇榮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ernest Shiu Wing Mok (莫肇榮), a licensed former licensee with CE reference AOT376. This person has 17.0 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-17 | 2024-05-24 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-10-17 | 2024-05-24 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-02 | 2011-09-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-04-02 | 2011-09-01 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2007-04-02 | 2011-09-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ernest Shiu Wing Mok 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.