Wai Yin Mok
莫慧賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yin Mok (莫慧賢), a licensed Representative with CE reference AHX029. Currently licensed at 1 firm(s): LGT Investment Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2013-06-27 | present |
| LGT Investment Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2013-06-27 | present |
| LGT Investment Management (Asia) Limited | Rep | Type 9 — Asset management | 2013-06-27 | present |
| Julius Baer (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-03-08 | 2011-12-31 |
| Julius Baer (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-09-29 | 2011-12-31 |
| Julius Baer (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-09-29 | 2011-12-31 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2010-06-14 | 2010-09-17 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 — Asset management | 2010-06-14 | 2010-09-17 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2005-01-14 | 2010-09-17 |