Philip Wan Yu Mok
莫韻餘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Philip Wan Yu Mok (莫韻餘), a licensed former licensee with CE reference AAK403. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hexa Asset Management Limited 凱盛資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-06-02 | 2023-09-30 |
| Hexa Asset Management Limited 凱盛資產管理有限公司 |
RO | Type 9 — Asset management | 2015-06-02 | 2023-09-30 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2012-03-08 | 2015-02-28 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 5 — Advising on futures contracts | 2011-06-02 | 2015-02-28 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-06-02 | 2015-02-28 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-06-02 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2010-10-28 | 2015-02-28 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2010-10-28 | 2015-02-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2010-06-28 | 2012-03-08 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2010-06-28 | 2015-02-28 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2007-03-09 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-01-23 | 2011-06-02 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2006-01-23 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-01-23 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-15 | 2006-01-23 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-15 | 2007-03-09 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2003-05-06 | 2010-10-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2003-05-06 | 2010-10-28 |