Sze Man Wong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sze Man Wong (黃詩敏), a licensed Responsible Officer with CE reference AQS231. Currently licensed at 2 firm(s): CITIC Securities (Hong Kong) Limited, CLSA Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 17.5 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2021-10-06 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-09-17 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-09-17 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-06-23 | 2021-10-06 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-07-08 | 2021-06-04 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-04-30 | 2016-07-08 |
| South West Capital Limited 西南融資有限公司 |
RO | Type 1 - Dealing in securities | 2012-04-20 | 2012-12-12 |
| South West Capital Limited 西南融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2012-04-20 | 2012-12-12 |
| Octal Capital Limited 八方金融有限公司 |
RO | Type 1 - Dealing in securities | 2012-01-11 | 2012-04-16 |
| Octal Capital Limited 八方金融有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-12-01 | 2012-04-16 |
| Octal Capital Limited 八方金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-08-31 | 2011-12-01 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-06-09 | 2011-08-08 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-06-09 | 2011-08-08 |
| Joy Silver Limited 喜銀有限公司 |
Rep | Type 1 - Dealing in securities | 2008-04-02 | 2010-03-12 |
| Joy Silver Limited 喜銀有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-04-02 | 2010-03-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sze Man Wong 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.