MOK Wai Yip

莫偉業

CE AFB437Licensed IndividualResponsible OfficerSFO licence active

MOK Wai Yip (CE number AFB437) is an individual licensed by the Hong Kong SFC. First licensed on 2010-10-25. 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 1 firm.

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 (1)

Capacity	Company / Institution
Responsible Officer	XINHUI INTERNATIONAL SECURITIES COMPANY LIMITED 鑫輝國際證券有限公司

Licence Record (12)

2017-07-31 – present Current

XINHUI INTERNATIONAL SECURITIES COMPANY LIMITED RO

RA 1 RA 2

2017-07-11 – 2020-02-28

JS Securities Limited Rep

RA 1 RA 4

2017-07-11 – 2022-01-28

XINHUI INTERNATIONAL SECURITIES COMPANY LIMITED Rep

RA 2

2015-09-08 – 2017-05-31

Yue Xiu Securities Company Limited Rep

RA 1 RA 4

2015-09-08 – 2017-05-31

Yue Xiu Futures Company Limited Rep

RA 2 RA 5

2015-03-30 – 2015-08-06

Guotai Junan Securities (Hong Kong) Limited Rep

RA 1

2015-03-30 – 2015-08-06

Guotai Junan Futures (Hong Kong) Limited Rep

RA 2

2015-02-10 – 2015-03-16

Shenwan Hongyuan Securities (H.K.) Limited Rep

RA 1

2015-02-10 – 2015-03-16

Shenwan Hongyuan Futures (H.K.) Limited Rep

RA 2

2012-11-16 – 2015-02-01

CSC Securities (HK) Limited Rep

RA 1

2012-11-16 – 2015-02-01

CSC Futures (HK) Limited Rep

RA 2

2010-10-25 – 2012-09-18

Shanxi Securities International Financial Holdings Limited Rep

RA 2

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/AFB437