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NI Kwok Kuen, Alex

倪國權
CE AOA109Licensed IndividualSFO licence active
Official SFC record

NI Kwok Kuen, Alex (CE number AOA109) is an individual licensed by the Hong Kong SFC. First licensed on 2006-11-22. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativePhillip Commodities (HK) Limited
輝立商品(香港)有限公司
RepresentativePhillip Securities (Hong Kong) Limited
輝立證券(香港)有限公司

Licence Record (3)

2007-01-22 – present Current
Phillip Commodities (HK) Limited Rep
RA 2 RA 3 RA 5
2007-01-12 – present Current
Phillip Securities (Hong Kong) Limited Rep
RA 1 RA 4
2006-11-22 – 2007-01-03
Lion Global Financial Limited Rep
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/AOA109