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YUEN Kwok Wai

袁國偉
CE AAV935Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YUEN Kwok Wai (CE number AAV935) 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 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerChina Galaxy International Futures (Hong Kong) Co., Limited
中國銀河國際期貨(香港)有限公司
Responsible OfficerChina Galaxy International Securities (Hong Kong) Co., Limited
中國銀河國際證券(香港)有限公司

Licence Record (3)

2011-12-14 – present Current
China Galaxy International Securities (Hong Kong) Co., Limited RO
RA 1 RA 4
2011-12-14 – present Current
China Galaxy International Futures (Hong Kong) Co., Limited RO
RA 2
2003-04-01 – 2011-11-04
Yuanta Asia Investment (Hong Kong) Limited RO
RA 1 RA 2 RA 4 RA 5

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/AAV935