Ana Kwok
郭安妮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ana Kwok (郭安妮), a licensed former licensee with CE reference AAB158. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-10 | 2010-08-07 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-03-10 | 2010-08-07 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-09 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-03-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-09 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-03-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-09 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-09 |