SFC Licences of KWOK Ping Yam 郭秉鑫
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| ASA Securities Limited 富國證券有限公司 | RE | 2 | 13 January 2011 | 10 June 2011 |
| ASA Securities Limited 富國證券有限公司 | RE | 1 | 10 November 2010 | 10 June 2011 |
| Huarong International Securities Limited 華融國際證券有限公司 | RE | 1 | 02 August 2010 | 06 November 2010 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 | RE | 1 | 26 June 2007 | 27 July 2007 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 | RE | 1 | 26 June 2007 | 27 July 2007 |
| FWD Financial Planning Limited 富衛財務策劃有限公司 | RE | 4 | 14 March 2006 | 31 May 2007 |
| Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 | RE | 4 | 04 November 2003 | 24 June 2004 |