SFC Licences of CHAN Kwok Wai, Joseph 陳國偉
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Alpine Corporate Finance Limited 鼎柏融資有限公司 | RO | 6 | 21 December 2018 | 30 November 2021 |
Alpine Securities Limited 高山證券有限公司 | RO | 4 | 31 July 2018 | 10 March 2021 |
Alpine Securities Limited 高山證券有限公司 | RO | 1 | 31 July 2018 | 10 March 2021 |
BOCI Asia Limited 中銀國際亞洲有限公司 | RO | 6 | 20 July 2015 | 16 August 2017 |
BOCI Asia Limited 中銀國際亞洲有限公司 | RO | 1 | 20 July 2015 | 16 August 2017 |
BOCI Securities Limited 中銀國際證券有限公司 | RO | 1 | 20 July 2015 | 16 August 2017 |
BOCI Asia Limited 中銀國際亞洲有限公司 | RE | 6 | 10 October 2007 | 20 July 2015 |
BOCI Asia Limited 中銀國際亞洲有限公司 | RE | 1 | 10 October 2007 | 20 July 2015 |
BOCI Securities Limited 中銀國際證券有限公司 | RE | 2 | 14 October 2005 | 27 September 2007 |
BOCI Securities Limited 中銀國際證券有限公司 | RE | 1 | 01 April 2003 | 20 July 2015 |
BOCI Commodities & Futures Limited 中銀國際期貨有限公司 | RE | 2 | 01 April 2003 | 27 September 2007 |
BOCI Commodities & Futures Limited 中銀國際期貨有限公司 | RE | 9 | 01 April 2003 | 13 January 2004 |
BOCI Commodities & Futures Limited 中銀國際期貨有限公司 | RE | 5 | 01 April 2003 | 13 January 2004 |
BOCI Securities Limited 中銀國際證券有限公司 | RE | 6 | 01 April 2003 | 12 January 2004 |
BOCI Securities Limited 中銀國際證券有限公司 | RE | 9 | 01 April 2003 | 12 January 2004 |
BOCI Securities Limited 中銀國際證券有限公司 | RE | 4 | 01 April 2003 | 12 January 2004 |