SFC Licences of MOK Shiu Wing, Ernest 莫肇榮
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 17 October 2011 | 24 May 2024 |
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 17 October 2011 | 24 May 2024 |
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 02 April 2007 | 01 September 2011 |
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 02 April 2007 | 01 September 2011 |
HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 02 April 2007 | 01 September 2011 |