SFC Licences of MOK Wai Lap Gavin 莫湋苙

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

Institution Role Licences Start date End date
Crosby Securities Limited 高誠證券有限公司
RE 1, 4 18 March 2019 01 October 2020
Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
RE 1 15 August 2014 19 August 2015
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司
RE 2 24 June 2014 09 August 2014
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司
RE 1 24 June 2014 09 August 2014
KGI Asia Limited 凱基證券亞洲有限公司
RO 1 11 October 2012 01 October 2013
KGI Asia Limited 凱基證券亞洲有限公司
RE 1 15 July 2010 11 October 2012
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司
RE 2 15 July 2010 01 May 2012
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司
RE 1 23 August 2007 05 June 2010
UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司
RE 2 17 August 2007 20 August 2007
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司
RE 1 27 June 2007 20 August 2007
Premier Q Securities Limited 乾立亨證券有限公司
RE 1 18 September 2004 15 December 2005
Premier Q Futures Limited 乾立亨期貨有限公司
RE 2 18 September 2004 15 December 2005
Crosby Securities Limited 高誠證券有限公司
RE 1, 4 14 September 2015 31 May 2017
Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
RE 4 09 April 2015 19 August 2015