Wai Fai Kok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Fai Kok ( ), a licensed former licensee with CE reference BJQ184. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2020-02-07 | 2020-02-12 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2020-01-06 | 2020-01-17 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-10-28 | 2019-11-15 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-10-10 | 2019-10-25 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-06-06 | 2019-06-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-03-28 | 2019-04-12 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-03-08 | 2019-03-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-01-11 | 2018-01-17 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2017-06-02 | 2017-06-09 |