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CHAU Kwok Wing, Kelvin

周國榮
CE ABS434Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAU Kwok Wing, Kelvin (CE number ABS434) is an individual licensed by the Hong Kong SFC. First licensed on 2005-04-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHarmony Advisors Limited
喜望利顧問有限公司
Responsible OfficerHarmony Capital International Limited

Licence Record (4)

2022-06-07 – present Current
Harmony Advisors Limited RO
RA 1 RA 4
2022-06-07 – present Current
Harmony Capital International Limited RO
RA 6
2010-08-16 – 2019-10-18
Rothschild & Co Wealth Management Hong Kong Limited RO
RA 1 RA 4
2005-04-27 – 2022-03-07
Rothschild & Co Hong Kong Limited RO
RA 1 RA 4 RA 6

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/ABS434