Ka Yip Kwok
郭家業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yip Kwok (郭家業), a licensed former licensee with CE reference AEB325. This person has 16.6 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-02 | 2019-12-31 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-04-02 | 2019-08-05 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-11-18 | 2015-03-25 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2003-09-08 | 2015-03-25 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 - Dealing in securities | 2003-07-19 | 2003-08-29 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-06-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-06-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-06-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Yip 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.