Wai Lap Gavin Mok
莫湋苙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Lap Gavin Mok (莫湋苙), a licensed former licensee with CE reference ALD459. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-18 | 2020-10-01 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-18 | 2020-10-01 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-14 | 2017-05-31 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-09-14 | 2017-05-31 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-09 | 2015-08-19 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-15 | 2015-08-19 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-24 | 2014-08-09 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-06-24 | 2014-08-09 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2012-10-11 | 2013-10-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-15 | 2012-10-11 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-07-15 | 2012-05-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-23 | 2010-06-05 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-08-17 | 2007-08-20 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-27 | 2007-08-20 |
| KuCoin HK Limited | Rep | Type 1 — Dealing in securities | 2004-09-18 | 2005-12-15 |
| KuCoin Commodity Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2004-09-18 | 2005-12-15 |