Kwok Man Yim
嚴國文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Man Yim (嚴國文), a licensed former licensee with CE reference AFW086. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-07-28 | 2023-11-28 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2015-07-28 | 2023-11-28 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-07-28 | 2023-11-28 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-02-03 | 2011-09-01 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-02-03 | 2011-09-01 |
| Odysseus Capital Asia Limited 奧澌資本亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-10-29 | 2014-07-29 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-07 | 2006-05-26 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2005-10-07 | 2006-05-26 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-10-07 | 2006-05-26 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-09-27 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-30 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-09-27 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-31 |