Cindy Wai Chu Kwok
郭惠珠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cindy Wai Chu Kwok (郭惠珠), a licensed former licensee with CE reference AGE351. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-04 | 2016-02-05 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-04 | 2012-11-30 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 4 — Advising on securities | 2009-12-07 | 2012-11-30 |
| Kirin Asset Management Limited 麒麟資產管理有限公司 |
Rep | Type 9 — Asset management | 2009-09-29 | 2009-11-30 |
| Kirin Asset Management Limited 麒麟資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-26 | 2009-11-30 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-08 | 2009-08-15 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 4 — Advising on securities | 2009-04-08 | 2009-08-15 |
| Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 |
Rep | Type 9 — Asset management | 2005-04-26 | 2006-09-30 |
| Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-09-30 |