Ka In Kwok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka In Kwok (郭嘉賢), a licensed Responsible Officer with CE reference AXQ079. Currently licensed at 2 firm(s): Haitong International Capital Limited, Haitong International Securities Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 14.8 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2021-10-22 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-09-16 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-09-16 | present |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-09-16 | 2021-10-22 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-02-21 | 2021-08-12 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-18 | 2021-08-12 |
| CMBC International Capital Limited 民銀資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-12-07 | 2021-08-12 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-11-03 | 2017-12-07 |
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-06-30 | 2017-09-08 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-07-25 | 2017-06-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka In Kwok 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.