Ka Lun Kwok
郭家麟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Lun Kwok (郭家麟), a licensed former licensee with CE reference AMP301. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-01-29 | 2020-10-29 |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-01-29 | 2020-10-29 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-07-24 | 2009-10-14 |
| Emperor Securities Limited 英皇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-06 | 2009-06-24 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-04-06 | 2009-06-24 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-17 | 2008-05-18 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-03-17 | 2008-05-18 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-20 | 2006-03-15 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-10-20 | 2006-03-15 |