Kwok Wai Yuen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wai Yuen (袁國偉), a licensed Responsible Officer with CE reference AAV935. Currently licensed at 2 firm(s): China Galaxy International Securities (Hong Kong) Co., Limited, China Galaxy International Futures (Hong Kong) Co., Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 21.7 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-03-13 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2011-12-14 | present |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2011-12-14 | present |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 4 - Advising on securities | 2009-09-14 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2009-09-14 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2007-05-11 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2007-05-11 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2003-11-26 | 2005-10-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2005-10-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwok Wai Yuen 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.