SFC Licences of KWOK Ming San 郭明燊
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 | RE | 5 | 06 October 2014 | 24 August 2016 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 | RE | 4 | 06 October 2014 | |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 | RE | 1 | 06 October 2014 | |
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 31 October 2011 | 15 February 2014 |
| Merrill Lynch Far East Limited | RE | 2 | 31 January 2011 | 15 February 2014 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 27 September 2007 | 15 February 2014 |