SFC Licences of MOK Sze Wai 莫施煒

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

Institution Role Licences Start date End date
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 6 02 August 2021
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 6 25 June 2015 31 January 2017
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 4 25 June 2015 31 January 2017
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 1 25 June 2015 31 January 2017
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 6 15 May 2015 05 June 2015
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 4 15 May 2015 05 June 2015
CLSA Limited 中信里昂證券有限公司 RE 1 15 May 2015 05 June 2015
CGS-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(香港)有限公司 RE 6 03 July 2012 30 December 2014
CGS-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(香港)有限公司 RE 1 03 July 2012 30 December 2014
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 6 28 May 2012 30 June 2012
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 1 28 May 2012 30 June 2012
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 6 01 August 2011 12 April 2012
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 1 01 August 2011 12 April 2012
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 6 08 April 2009 02 August 2010
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 1 08 April 2009 02 August 2010