SFC Licences of CHAK Kwok Fai 翟國輝

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
CMB International Global Markets Limited 招銀國際環球市場有限公司 RE 4 06 September 2022
CMB International Global Markets Limited 招銀國際環球市場有限公司 RO 1 14 July 2022
CMB International Securities Limited 招銀國際證券有限公司 RE 4 16 December 2020
CMB International Securities Limited 招銀國際證券有限公司 RE 1 16 December 2020
CMB International Global Markets Limited 招銀國際環球市場有限公司 RE 1 17 September 2021 14 July 2022
CLSA Limited 中信里昂證券有限公司 RE 1 12 March 2018 11 December 2019
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 2 03 October 2016 22 December 2017
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 1 03 October 2016 22 December 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE 7 08 July 2014 29 June 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE 2 29 May 2013 29 June 2016
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE 1 29 May 2013 29 June 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 1 29 May 2013 29 June 2016
Nomura Securities (Hong Kong) Limited RE 2 03 January 2011 16 March 2013
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 2 03 January 2011 16 March 2013
Nomura Securities (Hong Kong) Limited RE 1 03 January 2011 16 March 2013
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 1 03 January 2011 16 March 2013
CLSA Futures Limited 里昂期貨有限公司 RE 2 02 June 2008 23 November 2010
CLSA Limited 中信里昂證券有限公司 RE 1 02 June 2008 23 November 2010
J.P. Morgan Broking (Hong Kong) Limited RE 5 19 November 2007 24 April 2008
J.P. Morgan Broking (Hong Kong) Limited RE 2 19 November 2007 24 April 2008
J.P. Morgan Broking (Hong Kong) Limited RE 4 21 September 2006 24 April 2008
J.P. Morgan Broking (Hong Kong) Limited RE 1 04 September 2006 24 April 2008
CGS-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(香港)有限公司 RE 1 21 April 2004 12 August 2006
J.P. Morgan Broking (Hong Kong) Limited RE 5 06 December 2003 09 February 2004
J.P. Morgan Broking (Hong Kong) Limited RE 2 06 December 2003 09 February 2004
J.P. Morgan Securities (Far East) Limited RE 4 17 September 2003 09 February 2004
J.P. Morgan Broking (Hong Kong) Limited RE 1 01 April 2003 09 February 2004
J.P. Morgan Securities (Far East) Limited RE 1 01 April 2003 09 February 2004
J.P. Morgan Broking (Hong Kong) Limited RE 4 01 April 2003 09 February 2004
J.P. Morgan Securities (Far East) Limited RE 7 01 April 2003 09 February 2004
J.P. Morgan Futures Hong Kong Limited RE 2 01 April 2003 06 December 2003
J.P. Morgan Futures Hong Kong Limited RE 5 01 April 2003 06 December 2003
J.P. Morgan Broking (Hong Kong) Limited RE 6 01 April 2003 13 September 2003
J.P. Morgan Securities (Far East) Limited RE 6 01 April 2003 13 September 2003
J.P. Morgan Broking (Hong Kong) Limited RE 7 01 April 2003 13 September 2003
J.P. Morgan Futures Hong Kong Limited RE 7 01 April 2003 13 September 2003
J.P. Morgan Broking (Hong Kong) Limited RE 9 01 April 2003 13 September 2003
J.P. Morgan Futures Hong Kong Limited RE 9 01 April 2003 13 September 2003