Ka Yip Kwok
郭家業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yip Kwok (郭家業), a licensed former licensee with CE reference AEB325. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-02 | 2019-12-31 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-04-02 | 2019-08-05 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-11-18 | 2015-03-25 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-08 | 2015-03-25 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-07-19 | 2003-08-29 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-06-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-06-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-06-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-06 |