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KWEK Li Ern Joy

郭麗恩
CE ANQ606Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWEK Li Ern Joy (CE number ANQ606) is an individual licensed by the Hong Kong SFC. First licensed on 2006-08-25. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSMBC Nikko Securities (Hong Kong) Limited
日興證券(香港)有限公司

Licence Record (5)

2026-03-19 – present Current
SMBC Nikko Securities (Hong Kong) Limited RO
RA 1 RA 4 RA 6
2025-12-29 – 2026-03-18
SMBC Nikko Securities (Hong Kong) Limited RO
RA 1 RA 4 RA 6
2025-10-09 – 2025-12-29
SMBC Nikko Securities (Hong Kong) Limited Rep
RA 1 RA 4 RA 6
2007-09-28 – 2015-10-09
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 4 RA 6
2006-08-25 – 2025-04-30
Morgan Stanley Asia Limited Rep
RA 1 RA 6

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/ANQ606