Heung Yan Kwok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Heung Yan Kwok (郭香恩), a licensed Responsible Officer with CE reference BGM315. Currently licensed at 2 firm(s): Chief Securities Limited, Chief Great China Assets Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 9.1 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Chief Securities Limited 致富證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-04-14 | present |
| Chief Securities Limited 致富證券有限公司 |
RO | Type 4 - Advising on securities | 2026-04-14 | present |
| Chief Great China Assets Management Limited 致富大中華資產管理有限公司 |
RO | Type 9 - Asset management | 2026-04-14 | present |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-09-16 | 2026-04-14 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 4 - Advising on securities | 2025-09-16 | 2026-04-14 |
| Chief Great China Assets Management Limited 致富大中華資產管理有限公司 |
Rep | Type 9 - Asset management | 2025-09-16 | 2026-04-14 |
| Seazen Resources Securities Limited 新城晉峰證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-11-25 | 2025-07-27 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2022-06-15 | 2023-02-01 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 4 - Advising on securities | 2022-06-15 | 2025-07-27 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
RO | Type 9 - Asset management | 2022-06-15 | 2025-07-27 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2022-02-25 | 2022-06-15 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2022-02-10 | 2022-06-15 |
| Seazen Resources Asset Management Limited 新城晉峰資產管理有限公司 |
Rep | Type 9 - Asset management | 2022-02-10 | 2022-06-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 4 - Advising on securities | 2020-07-31 | 2021-12-03 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 9 - Asset management | 2020-07-31 | 2021-12-03 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-05-09 | 2019-11-28 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 9 - Asset management | 2018-05-09 | 2019-11-28 |
| HX Innovation Capital Management Co. Limited 華夏創新基金管理有限公司 |
RO | Type 9 - Asset management | 2016-01-29 | 2017-11-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Heung Yan 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.