SFC Licences of MOK Wai Lim, William 莫偉廉
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 03 September 2012 | 31 December 2014 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 | RE | 2 | 02 November 2004 | 17 June 2005 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 | RE | 1 | 02 November 2004 | 17 June 2005 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 | RE | 1 | 02 November 2004 | 17 June 2005 |
| C F C Securities Limited | RE | 1 | 20 November 2003 | 02 March 2004 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 | RE | 2 | 01 April 2003 | 30 June 2003 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 | RE | 5 | 01 April 2003 | 30 June 2003 |
| Delta Asia Financial Futures Limited 滙業金融期貨有限公司 | RE | 9 | 01 April 2003 | 30 June 2003 |