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KWOK Ka In

郭嘉賢
CE AXQ079Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWOK Ka In (CE number AXQ079) is an individual licensed by the Hong Kong SFC. First licensed on 2011-07-25. 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 (2)

CapacityCompany / Institution
Responsible OfficerHaitong International Capital Limited
海通國際資本有限公司
RepresentativeHaitong International Securities Company Limited
海通國際證券有限公司

Licence Record (6)

2021-09-16 – present Current
Haitong International Securities Company Limited Rep
RA 1 RA 4
2017-06-30 – present Current
Haitong International Capital Limited RO
RA 6
2018-02-21 – 2021-08-12
CMBC Securities Company Limited Rep
RA 1
2017-12-07 – 2021-08-12
CMBC International Capital Limited RO
RA 6
2017-11-03 – 2021-08-12
CMBC International Capital Limited Rep
RA 1 RA 6
2011-07-25 – 2021-10-22
Haitong International Capital Limited Rep
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/AXQ079