Kwok Wai Leung
梁國威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wai Leung (梁國威), a licensed Responsible Officer with CE reference AFB193. Currently licensed at 1 firm(s): Smart Empire Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Smart Empire Asset Management Limited 明堡資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-11-26 | present |
| Smart Empire Asset Management Limited 明堡資產管理有限公司 |
RO | Type 9 — Asset management | 2019-02-20 | present |
| ALPS Capital Management Limited |
Rep | Type 1 — Dealing in securities | 2014-01-03 | 2017-09-07 |
| ALPS Capital Management Limited |
Rep | Type 4 — Advising on securities | 2012-09-10 | 2017-09-07 |
| ALPS Capital Management Limited |
Rep | Type 9 — Asset management | 2012-09-10 | 2017-09-07 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-05 | 2012-07-20 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-05 | 2012-07-20 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-07-05 | 2012-07-20 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-05-05 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2005-05-05 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 9 — Asset management | present | 2005-05-05 |