SFC Licences of KWOK Ka Lun 郭家麟
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 | RE | 1 | 29 January 2020 | 29 October 2020 |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 | RE | 9 | 29 January 2020 | 29 October 2020 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 | RE | 4 | 24 July 2009 | 14 October 2009 |
| Emperor Securities Limited 英皇證券有限公司 | RE | 1 | 06 April 2009 | 24 June 2009 |
| Emperor Futures Limited 英皇期貨有限公司 | RE | 2 | 06 April 2009 | 24 June 2009 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 17 March 2008 | 18 May 2008 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 2 | 17 March 2008 | 18 May 2008 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 2 | 20 October 2005 | 15 March 2006 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 20 October 2005 | 15 March 2006 |