Cathy Tung Wa Kok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cathy Tung Wa Kok (郝冬樺), a licensed Responsible Officer with CE reference ANM194. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 18.9 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 - Asset management | 2017-12-29 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-04 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-08-04 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-08-04 | 2026-04-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 - Asset management | 2017-08-04 | 2017-12-29 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-01-29 | 2016-05-30 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 - Asset management | 2006-07-13 | 2016-05-30 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 9 - Asset management | 2006-07-13 | 2008-12-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Cathy Tung Wa Kok 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.