Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

SO Kwok Yan, Robert

蘇國仁
CE ABA369Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SO Kwok Yan, Robert (CE number ABA369) 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 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerTelecom King Securities Limited
電訊數碼證券有限公司

Licence Record (5)

2017-09-19 – present Current
Telecom King Securities Limited RO
RA 1 RA 2
2017-08-21 – 2019-04-01
Telecom King Securities Limited Rep
RA 1 RA 2
2012-05-22 – 2017-05-19
Winx International Futures Co., Limited RO
RA 2
2011-10-19 – 2012-02-29
New Trend Futures Limited RO
RA 2
2003-04-01 – 2011-10-19
New Trend Futures Limited Rep
RA 2 RA 5 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/ABA369