Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

KWOK Samuel Ming Sum

郭銘琛
CE AVL823Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWOK Samuel Ming Sum (CE number AVL823) is an individual licensed by the Hong Kong SFC. First licensed on 2010-07-09. Their SFC licence is currently active. Accredited for regulated activities Type 4 (Advising on securities), Type 10 (Credit rating). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 4 Advising on Securities
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerFitch (Hong Kong) Limited
惠譽國際評級有限公司

Licence Record (3)

2022-08-02 – present Current
Fitch (Hong Kong) Limited RO
RA 10
2016-11-01 – 2022-08-02
Fitch (Hong Kong) Limited Rep
RA 10
2010-07-09 – 2014-07-04
Yuanta Securities (Hong Kong) Company 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/AVL823