Hing Yip Kwok
郭興業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hing Yip Kwok (郭興業), a licensed Responsible Officer with CE reference ANR615. Currently licensed at 2 firm(s): Topaz Financial Group Limited, Topaz Capital Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 10.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 4 — Advising on securities | 2019-04-25 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-04-25 | present |
| Topaz Capital Management Limited 瑭明資本管理有限公司 |
RO | Type 9 — Asset management | 2016-11-09 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2013-03-27 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-03-27 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-22 | 2013-03-27 |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-11-22 | 2013-03-27 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-12 | 2012-08-03 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-09-12 | 2012-08-03 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2006-07-21 | 2012-08-03 |