Sigismund Sung Chi Kwok
郭頌基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sigismund Sung Chi Kwok (郭頌基), a licensed former licensee with CE reference ALU450. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-08 | 2013-11-09 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-11-08 | 2013-11-09 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-05-15 | 2011-09-15 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-08-10 | 2011-09-15 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2006-08-10 | 2011-09-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-03-11 | 2006-08-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-03-11 | 2006-08-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2005-03-11 | 2006-08-01 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2005-03-11 | 2006-08-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2005-03-11 | 2006-08-01 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2005-03-11 | 2006-08-01 |