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SAN TO Hok Kwan

申屠學軍
CE AID493Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SAN TO Hok Kwan (CE number AID493) 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 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

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

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerLIS Investment Services Limited
德悅投資服務有限公司

Licence Record (6)

2008-01-09 – present Current
LIS Investment Services Limited RO
RA 4
2008-07-09 – 2009-09-08
LIS Investment Services Limited Rep
RA 4
2006-09-19 – 2008-01-08
Asset Dynamic Management Limited Rep
RA 4 RA 9
2003-10-23 – 2006-03-07
Guotai Junan Assets (Asia) Limited RO
RA 9
2003-04-01 – 2006-03-07
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2003-10-23
Guotai Junan Assets (Asia) Limited Rep
RA 4 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/AID493