Kwok Fai Chau
周國輝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Fai Chau (周國輝), a licensed Responsible Officer with CE reference ANX794. Currently licensed at 1 firm(s): Sumitomo Mitsui DS Asset Management (Hong Kong) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 三井住友德思資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-01-13 | present |
| Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 三井住友德思資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2019-10-01 | present |
| Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 三井住友德思資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-01-13 | 2023-01-13 |
| Sumitomo Mitsui Asset Management (Hong Kong) Limited 三井住友投資管理(香港)有限公司 |
RO | Type 9 — Asset management | 2017-10-17 | 2019-09-30 |
| Sumitomo Mitsui Asset Management (Hong Kong) Limited 三井住友投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2017-07-24 | 2017-10-17 |
| LT Finance Management Limited | Rep | Type 4 — Advising on securities | 2016-06-20 | 2017-06-30 |
| SPARX Asia Investment Advisors Limited | Rep | Type 4 — Advising on securities | 2006-09-11 | 2014-08-18 |
| SPARX Asia Investment Advisors Limited | Rep | Type 9 — Asset management | 2006-09-11 | 2014-08-18 |