Kwok Wai Yuen
袁國偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wai Yuen (袁國偉), a licensed Responsible Officer with CE reference AAV935. Currently licensed at 2 firm(s): China Galaxy International Securities (Hong Kong) Co., Limited, China Galaxy International Futures (Hong Kong) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-03-13 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-12-14 | present |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-12-14 | present |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2009-09-14 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2009-09-14 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-05-11 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-05-11 | 2011-11-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-11-26 | 2005-10-04 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-10-04 |