SFC Licences of KWOK Lap Wa 郭立華

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

Institution Role Licences Start date End date
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 RE 2 17 December 2020
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 1 17 December 2020
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 RE 5 05 October 2018
Guotai Junan FX Limited 國泰君安外匯有限公司 RE 3 05 October 2018
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 4 20 July 2018
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 RO 2 21 January 2019 17 December 2020
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RO 1 21 January 2019 17 December 2020
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 1 20 July 2018 21 January 2019
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 RE 2 20 July 2018 21 January 2019
BOCI Securities Limited 中銀國際證券有限公司 RE 2 16 March 2009 22 January 2018
BOCI Securities Limited 中銀國際證券有限公司 RE 1 30 May 2008 22 January 2018
BOCI Securities Limited 中銀國際證券有限公司 RE 4 30 May 2008 22 January 2018
BOCI Securities Limited 中銀國際證券有限公司 RE 3 18 August 2011 13 February 2015