Kwok On Woo
胡國安
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok On Woo (胡國安), a licensed Responsible Officer with CE reference AEM544. Currently licensed at 1 firm(s): TIAG Securities Trading Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| TIAG Securities Trading Limited | RO | Type 1 — Dealing in securities | 2024-06-05 | present |
| TIAG Securities Trading Limited | Rep | Type 1 — Dealing in securities | 2024-05-06 | 2024-06-05 |
| Merit Asset Management Limited 邁睿資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-09-07 | 2024-04-12 |
| Merit Asset Management Limited 邁睿資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-09-07 | 2024-04-12 |
| Merit Asset Management Limited 邁睿資產管理有限公司 |
RO | Type 9 — Asset management | 2023-09-07 | 2024-04-12 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 4 — Advising on securities | 2020-03-20 | 2022-12-13 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 9 — Asset management | 2020-03-20 | 2022-12-13 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-21 | 2022-12-13 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-01-21 | 2019-09-05 |
| Finet Securities Limited 財華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-12-24 | 2019-01-21 |
| Finet Securities Limited 財華證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-12-24 | 2019-01-21 |
| Business Securities Limited 東信證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-03-23 | 2018-08-31 |
| Business Futures Limited 東信期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-03-23 | 2018-08-31 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-22 | 2018-03-23 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-11-22 | 2018-03-23 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-04 | 2017-11-08 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-12-04 | 2017-11-08 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-11-21 |
| Kaiser Futures Limited 嘉信期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-11-21 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-11-20 |
| Kaiser Futures Limited 嘉信期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-11-20 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-20 |
| Kaiser Futures Limited 嘉信期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-20 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-20 |