Paul Kwok Yi Louie
雷國怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Paul Kwok Yi Louie (雷國怡), a licensed former licensee with CE reference AES876. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 4 — Advising on securities | 2014-01-08 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-09-17 | 2014-01-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2013-06-18 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2005-08-15 | 2008-09-29 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2005-07-19 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2005-03-24 |