SFC Licences of KWOK Chi Wai 郭志偉

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

Institution Role Licences Start date End date
Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 RO 4 08 February 2017
Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 RO 9 03 November 2016
Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 RO 1 03 November 2016
Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 RE 9 26 October 2016 03 November 2016
Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 RE 1 26 October 2016 03 November 2016
Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 RO 9 31 May 2016 30 September 2016
Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 RO 1 06 April 2016 30 September 2016
Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 RE 1 13 August 2015 06 April 2016
Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 RE 9 30 April 2014 30 June 2014
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE 1 22 July 2013 30 June 2014
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 4 22 July 2013 30 June 2014
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 1 22 July 2013 30 June 2014
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 4 29 March 2011 21 June 2013
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 1 29 March 2011 21 June 2013
KGI Asia Limited 凱基證券亞洲有限公司 RE 4 26 May 2010 19 March 2011
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 26 May 2010 19 March 2011
JS Cresvale Capital Limited 日盛嘉富資本有限公司 RE 1 01 June 2009 14 May 2010
JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 RE 1 15 February 2006 14 May 2010