Kate Kwan
關幗玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kate Kwan (關幗玲), a licensed former licensee with CE reference ANQ329. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| IL&FS Global Financial Services (HK) Limited |
RO | Type 1 — Dealing in securities | 2017-04-21 | 2018-11-06 |
| IL&FS Global Financial Services (HK) Limited |
RO | Type 4 — Advising on securities | 2017-04-21 | 2018-11-06 |
| IL&FS Global Financial Services (HK) Limited |
Rep | Type 1 — Dealing in securities | 2017-02-01 | 2017-04-21 |
| IL&FS Global Financial Services (HK) Limited |
Rep | Type 4 — Advising on securities | 2017-02-01 | 2017-04-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-07 | 2011-03-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-07-07 | 2011-03-08 |