Kwok Yin Shung
宋國彥
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Yin Shung (宋國彥), a licensed former licensee with CE reference AFF211. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cinda International Securities Limited 信達國際證券有限公司 |
RO | Type 4 — Advising on securities | 2022-07-04 | 2023-03-20 |
| Cinda International Securities Limited 信達國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-12-06 | 2023-03-20 |
| Cinda International Futures Limited 信達國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-12-06 | 2023-03-20 |
| Cinda International Futures Limited 信達國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-07-12 | 2019-12-06 |
| Cinda International Securities Limited 信達國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-11 | 2019-12-06 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-30 | 2019-04-03 |
| Minerva Holding Financial Securities Limited 嬴控金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-07-24 | 2019-01-30 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-02 | 2018-07-18 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-09-02 | 2018-07-18 |
| CMB International Insurance Consultancy Co., Limited 招銀國際保險顧問有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-11-01 | 2012-05-09 |
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-08-31 | 2014-08-25 |
| CMB International Capital Holdings Corporation Limited 招銀國際金融控股有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-12 | 2011-05-05 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-20 | 2010-06-28 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-10-20 | 2010-06-28 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-21 | 2008-12-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-09-21 | 2008-12-01 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-06 | 2006-05-22 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-12-04 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-03 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-03 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-03 |