Kwok Fai Chak
翟國輝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Fai Chak (翟國輝), a licensed Responsible Officer with CE reference AAY091. Currently licensed at 2 firm(s): CMB International Global Markets Limited, CMB International Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 38.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
Rep | Type 4 — Advising on securities | 2022-09-06 | present |
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
RO | Type 1 — Dealing in securities | 2022-07-14 | present |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-12-16 | present |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2020-12-16 | present |
| CMB International Global Markets Limited 招銀國際環球市場有限公司 |
Rep | Type 1 — Dealing in securities | 2021-09-17 | 2022-07-14 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-03-12 | 2019-12-11 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-03 | 2017-12-22 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-03 | 2017-12-22 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2014-07-08 | 2016-06-29 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2013-05-29 | 2016-06-29 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-29 | 2016-06-29 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-05-29 | 2016-06-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-03 | 2013-03-16 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-01-03 | 2013-03-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-01-03 | 2013-03-16 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2011-01-03 | 2013-03-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-02 | 2010-11-23 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-06-02 | 2010-11-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-11-19 | 2008-04-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2007-11-19 | 2008-04-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-09-21 | 2008-04-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-09-04 | 2008-04-24 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-21 | 2006-08-12 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-12-06 | 2004-02-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2003-12-06 | 2004-02-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2003-09-17 | 2004-02-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2004-02-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | present | 2004-02-09 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2004-02-09 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 7 — Providing automated trading services | present | 2004-02-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-09-13 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-09-13 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-09-13 |