Gary Yan Kuen Kwok
郭恩權
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gary Yan Kuen Kwok (郭恩權), a licensed former licensee with CE reference AJD893. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2014-01-07 | 2016-12-05 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2014-01-07 | 2016-12-05 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2014-01-07 | 2016-12-05 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2014-01-07 | 2016-12-05 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2014-01-07 | 2016-12-05 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2014-01-07 | 2016-12-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-05-28 | 2014-01-07 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-05-28 | 2014-01-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2007-05-28 | 2014-01-07 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2007-05-28 | 2014-01-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2007-05-28 | 2014-01-07 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2007-05-28 | 2014-01-07 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-14 | 2007-04-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-19 | 2007-04-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-07-19 | 2007-04-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2003-09-10 | 2004-04-27 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-09-10 | 2004-04-27 |