SFC Licences of KOK Wai Fai
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 4 | 07 February 2020 | 12 February 2020 |
| UBS Securities Asia Limited | RE | 4 | 06 January 2020 | 17 January 2020 |
| UBS Securities Asia Limited | RE | 4 | 28 October 2019 | 15 November 2019 |
| UBS Securities Asia Limited | RE | 4 | 10 October 2019 | 25 October 2019 |
| UBS Securities Asia Limited | RE | 4 | 06 June 2019 | 13 June 2019 |
| UBS Securities Asia Limited | RE | 4 | 28 March 2019 | 12 April 2019 |
| UBS Securities Asia Limited | RE | 4 | 08 March 2019 | 13 March 2019 |
| UBS Securities Asia Limited | RE | 4 | 11 January 2018 | 17 January 2018 |
| UBS Securities Asia Limited | RE | 4 | 02 June 2017 | 09 June 2017 |