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

KWAN Pak Him

關柏謙
CE BDU278Licensed IndividualSFO licence active
Official SFC record

KWAN Pak Him (CE number BDU278) is an individual licensed by the Hong Kong SFC. First licensed on 2014-08-11. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCathay Securities (Hong Kong) Limited
國泰證券(香港)有限公司

Licence Record (5)

2018-10-30 – present Current
Cathay Securities (Hong Kong) Limited Rep
RA 1
2016-12-19 – 2018-10-20
Shanxi Securities International Futures Limited Rep
RA 2
2016-04-05 – 2017-03-31
Shanxi Securities International Financial Holdings Limited Rep
RA 2
2015-10-12 – 2018-10-20
Shanxi Securities International Limited Rep
RA 1
2014-08-11 – 2015-04-29
OnePlatform Asset Management Limited Rep
RA 1

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/BDU278