Kin Fai Wong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kin Fai Wong (王健輝), a licensed Responsible Officer with CE reference AJA562. Currently licensed at 3 firm(s): Cepa Alliance Securities Limited, Cepaalliance Asset Management Limited, SBI E2-Capital Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 16.8 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cepa Alliance Securities Limited 世博證券有限公司 |
RO | Type 1 - Dealing in securities | 2024-05-29 | present |
| Cepa Alliance Securities Limited 世博證券有限公司 |
RO | Type 4 - Advising on securities | 2024-05-29 | present |
| Cepaalliance Asset Management Limited 世博資產管理有限公司 |
RO | Type 9 - Asset management | 2024-05-29 | present |
| SBI E2-Capital Securities Limited 軟庫金匯證券有限公司 |
RO | Type 1 - Dealing in securities | 2023-01-10 | present |
| SBI E2-Capital Securities Limited 軟庫金匯證券有限公司 |
RO | Type 4 - Advising on securities | 2023-01-10 | present |
| Business Securities Limited 東信證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-06-18 | 2022-06-30 |
| Business Securities Limited 東信證券有限公司 |
RO | Type 4 - Advising on securities | 2020-06-18 | 2022-06-30 |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
Rep | Type 9 - Asset management | 2015-03-20 | 2018-10-23 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 4 - Advising on securities | 2008-09-19 | 2019-04-30 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 9 - Asset management | 2008-09-19 | 2019-04-30 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
RO | Type 9 - Asset management | 2008-03-11 | 2013-02-28 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 9 - Asset management | 2008-03-11 | 2011-09-30 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2008-02-25 | 2019-04-30 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2008-02-25 | 2011-09-30 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2008-02-25 | 2013-02-28 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 4 - Advising on securities | 2008-02-25 | 2011-09-30 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
RO | Type 5 - Advising on futures contracts | 2008-02-25 | 2013-02-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kin Fai Wong 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.