Kin Wai Mok
莫建偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kin Wai Mok (莫建偉), a licensed Responsible Officer with CE reference ABS374. Currently licensed at 1 firm(s): Guoyun Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 41.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guoyun Securities Limited 國運證券有限公司 |
RO | Type 1 — Dealing in securities | 2026-05-04 | present |
| Guoyun Securities Limited 國運證券有限公司 |
RO | Type 4 — Advising on securities | 2026-05-04 | present |
| Guoyun Securities Limited 國運證券有限公司 |
RO | Type 9 — Asset management | 2026-05-04 | present |
| Index HK Limited 老鹰證券投資有限公司 |
RO | Type 4 — Advising on securities | 2025-07-30 | 2025-09-30 |
| Index HK Limited 老鹰證券投資有限公司 |
RO | Type 9 — Asset management | 2025-07-30 | 2025-09-30 |
| Red South Investment Management Limited 紅南投資管理有限公司 |
RO | Type 4 — Advising on securities | 2023-07-18 | 2023-10-05 |
| Red South Investment Management Limited 紅南投資管理有限公司 |
RO | Type 9 — Asset management | 2023-07-18 | 2023-10-05 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 4 — Advising on securities | 2020-06-30 | 2022-12-31 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-06-18 | 2022-12-31 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 1 — Dealing in securities | 2020-04-06 | 2022-12-31 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
RO | Type 9 — Asset management | 2019-12-10 | 2022-12-31 |
| Golden Jade Capital Limited 金瑜融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-09-08 | 2019-11-30 |
| Golden Jade Asset Management Limited 金瑜資產管理有限公司 |
RO | Type 9 — Asset management | 2015-08-26 | 2019-11-30 |
| Sino Wealth Securities Limited 國新證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-03-21 | 2014-10-10 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
RO | Type 9 — Asset management | 2013-04-24 | 2014-03-20 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 1 — Dealing in securities | 2011-01-18 | 2014-03-20 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-01-18 | 2014-03-20 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2009-12-14 | 2010-07-19 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2009-12-14 | 2010-07-19 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 4 — Advising on securities | 2009-11-16 | 2010-07-19 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 9 — Asset management | 2009-11-16 | 2010-07-19 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-06-25 | 2010-07-19 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-06-25 | 2010-07-19 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-05-15 | 2009-06-25 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-05-15 | 2009-06-25 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2009-03-19 | 2009-04-27 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-03-19 | 2009-04-27 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 4 — Advising on securities | 2009-03-19 | 2009-04-27 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 5 — Advising on futures contracts | 2009-03-19 | 2009-04-27 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2007-09-13 | 2008-06-21 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2007-09-10 | 2008-06-21 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-09-10 | 2008-06-21 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2007-09-10 | 2008-06-21 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 5 — Advising on futures contracts | 2007-09-10 | 2008-06-21 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-11-26 | 2008-03-03 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 5 — Advising on futures contracts | 2005-11-26 | 2008-03-03 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-03-03 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 4 — Advising on securities | present | 2008-03-03 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2008-03-03 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-09-08 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 9 — Asset management | present | 2008-03-03 |