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MOK Siu Kin

莫紹堅
CE AMW536Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

MOK Siu Kin (CE number AMW536) is an individual licensed by the Hong Kong SFC. First licensed on 2006-01-03. 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 OfficerPineBridge Investments Asia Limited
柏瑞投資亞洲有限公司

Licence Record (3)

2011-09-22 – present Current
PineBridge Investments Asia Limited RO
RA 1 RA 9
2011-07-11 – 2011-09-22
PineBridge Investments Asia Limited Rep
RA 1 RA 9
2006-01-03 – 2011-06-09
JPMorgan Asset Management (Asia Pacific) Limited Rep
RA 1 RA 2 RA 4 RA 5 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/AMW536