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CHAN Kwok Wai

陳國偉
CE ALG542Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHAN Kwok Wai (CE number ALG542) is an individual licensed by the Hong Kong SFC. First licensed on 2004-09-27. 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), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerHarmonia Capital Limited
仁和資本有限公司

Licence Record (6)

2019-12-09 – present Current
Harmonia Capital Limited RO
RA 1 RA 4 RA 9
2018-11-27 – 2019-06-19
WealthQuay Asset Management Limited RO
RA 4 RA 9
2018-07-09 – 2019-06-19
Rich Bay Securities Limited RO
RA 1 RA 2
2016-04-22 – 2017-08-28
United Great International Investment Limited RO
RA 4 RA 9
2008-03-25 – 2010-10-29
Natixis Asia Limited Rep
RA 1 RA 2 RA 4 RA 5
2004-09-27 – 2008-02-16
J.P. Morgan Broking (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5

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/ALG542