SFC Licences of MOK Kin Wai 莫建偉

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

Institution Role Licences Start date End date
Tianda Securities Limited 天大証券有限公司
RO 4 30 June 2020
Tianda Asset Management Limited 天大資產管理有限公司
RO 4 18 June 2020
Tianda Securities Limited 天大証券有限公司
RO 1 06 April 2020
Tianda Asset Management Limited 天大資產管理有限公司
RO 9 10 December 2019
Golden Jade Capital Limited 金瑜融資有限公司
RO 6 08 September 2016 30 November 2019
Golden Jade Asset Management Limited 金瑜資產管理有限公司
RO 9 26 August 2015 30 November 2019
Sino Wealth Securities Limited 國新證券有限公司
RO 1 21 March 2014 10 October 2014
Tianda Asset Management Limited 天大資產管理有限公司
RO 9 24 April 2013 20 March 2014
Tianda Securities Limited 天大証券有限公司
RO 1, 2 18 January 2011 20 March 2014
ICBC International Asset Management Limited 工銀國際資產管理有限公司
RO 4, 9 14 December 2009 19 July 2010
ICBC International Fund Management Limited 工銀國際基金管理有限公司
RO 4, 9 16 November 2009 19 July 2010
ICBC International Futures Limited 工銀國際期貨有限公司
RO 2 25 June 2009 19 July 2010
ICBC International Securities Limited 工銀國際證券有限公司
RO 1 25 June 2009 19 July 2010
ICBC International Securities Limited 工銀國際證券有限公司
RE 1 15 May 2009 25 June 2009
ICBC International Futures Limited 工銀國際期貨有限公司
RE 2 15 May 2009 25 June 2009
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司
RO 1, 2, 4, 5 19 March 2009 27 April 2009
BOCOM International Asset Management Limited 交銀國際資產管理有限公司
RO 9 13 September 2007 21 June 2008
BOCOM International Securities Limited 交銀國際證券有限公司
RO 1, 2, 4, 5 10 September 2007 21 June 2008
BOCOM International Holdings Company Limited 交銀國際控股有限公司
RO 2, 5 26 November 2005 03 March 2008
BOCOM International Holdings Company Limited 交銀國際控股有限公司
RO 1, 4, 6, 9 01 April 2003 03 March 2008
BOCOM International Holdings Company Limited 交銀國際控股有限公司
RO 7 01 April 2003 08 September 2003