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KWOK Kit Ying

郭潔凝
CE AXZ904Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KWOK Kit Ying (CE number AXZ904) is an individual licensed by the Hong Kong SFC. First licensed on 2011-09-08. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management), Type 10 (Credit rating). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerFirst Sentier Investors (Hong Kong) Limited

Licence Record (7)

2022-06-20 – present Current
First Sentier Investors (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2021-08-04 – 2022-06-20
First Sentier Investors (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2019-05-30 – 2021-06-10
Goldman Sachs Asset Management (Hong Kong) Limited Rep
RA 1 RA 9
2016-10-11 – 2019-08-14
Goldman Sachs (Asia) Securities Limited Rep
RA 2
2016-07-20 – 2019-08-14
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 9
2016-07-20 – 2016-10-10
Goldman Sachs Futures (Asia) Limited Rep
RA 2
2011-09-08 – 2015-06-06
Moody's Investors Service Hong Kong Limited Rep
RA 10

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/AXZ904