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WONG Ka Wai, Kavi

黃嘉威
CE ALQ402Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WONG Ka Wai, Kavi (CE number ALQ402) is an individual licensed by the Hong Kong SFC. First licensed on 2005-01-18. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerNew Region Securities Company Limited
恒盛證券有限公司
RepresentativeNew Region Securities Company Limited
恒盛證券有限公司

Licence Record (7)

2021-05-31 – present Current
New Region Securities Company Limited RO
RA 4 RA 9
2020-11-02 – present Current
New Region Securities Company Limited Rep
RA 1
2020-09-03 – 2020-10-30
Sino-Rich Securities & Futures Limited Rep
RA 1 RA 4 RA 9
2019-12-17 – 2020-09-02
Xen Capital (HK) Limited RO
RA 4 RA 9
2019-07-16 – 2019-12-17
Xen Capital (HK) Limited Rep
RA 4 RA 9
2005-01-18 – 2005-10-18
Tse's Securities Limited Rep
RA 1
2005-01-18 – 2005-10-18
Hong Kong Forex Investment Limited Rep
RA 3

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/ALQ402