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KWOK Hoi Yan

郭凱欣
CE ANB388Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWOK Hoi Yan (CE number ANB388) is an individual licensed by the Hong Kong SFC. First licensed on 2006-02-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerCITIC Securities Brokerage (HK) Limited
中信証券經紀(香港)有限公司
RepresentativeCITIC Securities Brokerage (HK) Limited
中信証券經紀(香港)有限公司
RepresentativeCITIC Securities Futures (HK) Limited
中信証券期貨(香港)有限公司

Licence Record (3)

2020-09-16 – present Current
CITIC Securities Brokerage (HK) Limited RO
RA 4
2020-08-13 – present Current
CITIC Securities Futures (HK) Limited Rep
RA 2
2006-02-20 – present Current
CITIC Securities Brokerage (HK) Limited Rep
RA 1 RA 4

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/ANB388