Ka Lok (SFC:ACH783) Kwok
郭家樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Lok (SFC:ACH783) Kwok (郭家樂), a licensed former licensee with CE reference ACH783. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-23 | 2022-02-28 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-12-23 | 2022-02-28 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 4 — Advising on securities | 2021-04-09 | 2021-12-23 |
| Celestial Securities Limited 時富證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-27 | 2021-12-23 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 9 — Asset management | 2020-11-27 | 2022-02-28 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2019-09-12 | 2022-02-28 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-09-12 | 2020-11-27 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-09-12 | 2021-04-09 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
Rep | Type 9 — Asset management | 2019-09-12 | 2020-11-27 |
| Celestial Securities Limited 時富證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-02-22 | 2019-09-12 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2019-02-22 | 2019-09-12 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 4 — Advising on securities | 2019-02-22 | 2019-09-12 |
| CASH Wealth Management Limited 時富財富管理有限公司 |
RO | Type 9 — Asset management | 2019-02-22 | 2019-09-12 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-08-26 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 4 — Advising on securities | present | 2005-08-26 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2005-08-26 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-02-18 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 9 — Asset management | present | 2005-08-26 |