Wai Fan Mok
莫惠芬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Fan Mok (莫惠芬), a licensed former licensee with CE reference AVE576. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Chief Commodities Limited 致富期貨商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-05-24 | 2025-06-27 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-01-12 | 2025-06-27 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-01-12 | 2025-06-27 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 9 — Asset management | 2021-01-12 | 2025-06-27 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2018-05-10 | 2020-12-23 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 4 — Advising on securities | 2018-05-10 | 2020-12-23 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 9 — Asset management | 2018-05-10 | 2020-12-23 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-08 | 2015-08-26 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-22 | 2015-03-25 |