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KWOK Man Sin

郭文倩
CE AYJ714Licensed IndividualSFO licence active
Official SFC record

KWOK Man Sin (CE number AYJ714) is an individual licensed by the Hong Kong SFC. First licensed on 2011-11-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeNuveen Hong Kong Limited

Licence Record (3)

2021-07-27 – present Current
Nuveen Hong Kong Limited Rep
RA 1 RA 4
2012-11-28 – 2021-04-23
BlackRock Asset Management North Asia Limited Rep
RA 1 RA 4 RA 9
2011-11-09 – 2014-12-31
BlackRock (Hong Kong) Limited Rep
RA 1 RA 4 RA 9

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/AYJ714