Wing Lok Kwan
關榮樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wing Lok Kwan (關榮樂), a licensed former licensee with CE reference ADT427. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-09-03 | 2017-06-14 |
| Mirae Asset Wealth Management (HK) Limited 未來資產財富管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-10-25 | 2013-06-30 |
| Mirae Asset Wealth Management (HK) Limited 未來資產財富管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-04-01 | 2012-10-25 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 — Advising on securities | 2004-09-09 | 2009-03-04 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-16 | 2004-09-06 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2004-01-09 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2004-01-09 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-01-09 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2004-01-09 |