Chi Chung Kwok
郭志聰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Chung Kwok (郭志聰), a licensed Representative with CE reference AOC990. Currently licensed at 3 firm(s): HSBC Broking Securities (Asia) Limited, HSBC Broking Forex (Asia) Limited, HSBC Broking Futures (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 3 — Leveraged foreign exchange trading; Type 4 — Advising on securities. Total licence records on file: 16.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Leveraged foreign exchange trading →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-01 | present |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2014-11-13 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-22 | present |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-08-22 | present |
| Imperium International Securities Limited 帝國國際証券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-10 | 2014-07-01 |
| Imperium International Securities Limited 帝國國際証券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-01-10 | 2014-07-01 |
| Imperium International Securities Limited 帝國國際証券有限公司 |
RO | Type 1 — Dealing in securities | 2013-05-23 | 2014-01-10 |
| Imperium International Securities Limited 帝國國際証券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-05-23 | 2014-01-10 |
| Imperium International Securities Limited 帝國國際証券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-04-18 | 2013-05-23 |
| Imperium International Securities Limited 帝國國際証券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-04-18 | 2013-05-23 |
| Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-25 | 2013-04-06 |
| Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-06-25 | 2013-04-06 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-04-15 | 2010-06-01 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2007-01-10 | 2010-06-01 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-06 | 2010-06-01 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-11-06 | 2010-06-01 |