SFC Licences of KOK Cho Yan 谷祖欣

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

Institution Role Licences Start date End date
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RE 4 30 November 2021 27 June 2022
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司 RE 1 27 September 2021 27 June 2022
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 14 January 2015 20 July 2021
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 14 January 2015 20 July 2021
CES Forex (HK) Limited 光證外匯（香港）有限公司 RE 3 07 December 2012 03 January 2015
CES Commodities (HK) Limited 光證期貨（香港）有限公司 RE 2 04 November 2011 03 January 2015
Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 RE 1 04 November 2011 03 January 2015
Cinda International Securities Limited 信達國際證券有限公司 RE 1 30 September 2011 18 October 2011
Cinda International Futures Limited 信達國際期貨有限公司 RE 2 30 September 2011 18 October 2011
ASA Securities Limited 富國證券有限公司 RE 2 10 January 2011 16 September 2011
ASA Securities Limited 富國證券有限公司 RE 1 20 October 2010 16 September 2011
Chief Securities Limited 致富證券有限公司 RE 1 11 November 2009 18 September 2010
Win Securities Limited 贏證券有限公司 RE 7 29 April 2008 12 August 2009
Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 RE 1 29 April 2008 12 August 2009
Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 RE 7 29 April 2008 12 August 2009
Win Securities Limited 贏證券有限公司 RE 1 29 April 2008 12 August 2009