Li Ern Joy Kwek
郭麗恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li Ern Joy Kwek (郭麗恩), a licensed Responsible Officer with CE reference ANQ606. Currently licensed at 1 firm(s): SMBC Nikko Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 15.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-12-29 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-12-29 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-12-29 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-10-09 | 2025-12-29 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-10-09 | 2025-12-29 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-10-09 | 2025-12-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-03-20 | 2025-04-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-18 | 2015-10-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-06-18 | 2012-07-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-28 | 2015-10-09 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-25 | 2007-09-03 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-08-25 | 2007-09-03 |