Marcus Mann Kwong
鄺孟芹
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Marcus Mann Kwong (鄺孟芹), a licensed Responsible Officer with CE reference AFU388. Currently licensed at 1 firm(s): CLSA Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-10-20 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-05-27 | 2025-10-20 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2022-07-07 | 2024-10-31 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2022-07-07 | 2024-10-31 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2022-07-07 | 2024-10-31 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2022-07-07 | 2024-10-31 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2022-07-07 | 2024-10-31 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2019-11-19 | 2022-03-03 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-11 | 2022-03-03 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2019-11-11 | 2022-03-03 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2019-11-11 | 2022-03-03 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-06-23 | 2013-03-06 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-29 | 2019-09-27 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-06-29 | 2019-09-27 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2005-03-31 | 2009-04-25 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2004-03-31 | 2009-04-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-03-13 |