Chi Wai Kwok
郭志偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Wai Kwok (郭志偉), a licensed Responsible Officer with CE reference ANA838. Currently licensed at 1 firm(s): Bridgeway Prime Shop Fund Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 18.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 4 — Advising on securities | 2017-02-08 | present |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-03 | present |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 9 — Asset management | 2016-11-03 | present |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-26 | 2016-11-03 |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
Rep | Type 9 — Asset management | 2016-10-26 | 2016-11-03 |
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2016-05-31 | 2016-09-30 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-04-06 | 2016-09-30 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-13 | 2016-04-06 |
| Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-04-30 | 2014-06-30 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-22 | 2014-06-30 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-22 | 2014-06-30 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-22 | 2014-06-30 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-29 | 2013-06-21 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-29 | 2013-06-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-26 | 2011-03-19 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-26 | 2011-03-19 |
| JS Cresvale Capital Limited 日盛嘉富資本有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-01 | 2010-05-14 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 1 — Dealing in securities | 2006-02-15 | 2010-05-14 |