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KWOK Wai Ki, Henry

郭偉奇
CE AGJ901Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWOK Wai Ki, Henry (CE number AGJ901) 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 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerICBC Asset Management (Global) Company Limited
工銀資管(全球)有限公司

Licence Record (6)

2011-10-14 – present Current
ICBC Asset Management (Global) Company Limited RO
RA 4 RA 5 RA 9
2014-10-17 – 2020-11-03
SINO-CEEF Capital Management Company Limited RO
RA 4 RA 9
2013-07-23 – 2021-07-27
ICBC (Asia) Futures Company Limited RO
RA 5
2005-12-05 – 2011-10-14
ICBC Asset Management (Global) Company Limited Rep
RA 4 RA 9
2005-12-05 – 2008-09-01
Huajin Corporate Finance (International) Limited Rep
RA 4 RA 6
2003-04-01 – 2005-09-22
UOB Asia (Hong Kong) Limited Rep
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/AGJ901