Joseph Kwok Wai Chan
陳國偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Kwok Wai Chan (陳國偉), a licensed former licensee with CE reference ADI545. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpine Corporate Finance Limited 鼎柏融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-12-21 | 2021-11-30 |
| Alpine Securities Limited 高山證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-07-31 | 2021-03-10 |
| Alpine Securities Limited 高山證券有限公司 |
RO | Type 4 — Advising on securities | 2018-07-31 | 2021-03-10 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-20 | 2017-08-16 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-20 | 2017-08-16 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-07-20 | 2017-08-16 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-10 | 2015-07-20 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-10 | 2015-07-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-10-14 | 2007-09-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2015-07-20 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2007-09-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-12 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-01-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-12 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-13 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-12 |