Hok Kwan San To
申屠學軍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hok Kwan San To (申屠學軍), a licensed Responsible Officer with CE reference AID493. Currently licensed at 1 firm(s): LIS Investment Services Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LIS Investment Services Limited 德悅投資服務有限公司 |
RO | Type 4 — Advising on securities | 2009-09-08 | present |
| LIS Investment Services Limited 德悅投資服務有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-09 | 2009-09-08 |
| LIS Investment Services Limited 德悅投資服務有限公司 |
RO | Type 4 — Advising on securities | 2008-01-09 | 2008-07-09 |
| Asset Dynamic Management Limited 盈動資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-28 | 2008-01-08 |
| Asset Dynamic Management Limited 盈動資產管理有限公司 |
Rep | Type 9 — Asset management | 2006-09-19 | 2008-01-08 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2003-10-23 | 2006-03-07 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-03-07 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-26 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-26 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-26 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-23 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-26 |