Carole Wai Ha Chau Mok
周莫慧霞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carole Wai Ha Chau Mok (周莫慧霞), a licensed Representative with CE reference AAW712. Currently licensed at 1 firm(s): UOB Kay Hian (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 23.3 years of SFC licence history. Total licence records on file: 3.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-27 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-27 |