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KWOK Kai Yan

郭啟恩
CE AAE643Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWOK Kai Yan (CE number AAE643) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerTung Tak Securities (HK) Company Limited
同德證券(香港)有限公司

Licence Record (1)

2003-04-01 – present Current
Tung Tak Securities (HK) Company Limited RO
RA 1 RA 4 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAE643