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HO Wai Kin

何偉健
CE AYZ335Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HO Wai Kin (CE number AYZ335) is an individual licensed by the Hong Kong SFC. First licensed on 2012-03-05. 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), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (6)

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
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerImperium International Asset Management Limited
帝國國際資產管理有限公司
Responsible OfficerImperium International Securities Limited
帝國國際証券有限公司

Licence Record (4)

2016-06-28 – present Current
Imperium International Securities Limited RO
RA 1 RA 2 RA 4
2016-06-28 – present Current
Imperium International Asset Management Limited RO
RA 4 RA 5 RA 9
2013-04-30 – 2016-06-28
Imperium International Securities Limited Rep
RA 1 RA 2
2012-03-05 – 2013-04-15
Nerico Brothers Limited Rep
RA 1 RA 2 RA 3

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/AYZ335