Kwok Hung Kam
甘國雄
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Hung Kam (甘國雄), a licensed Responsible Officer with CE reference AOL528. Currently licensed at 1 firm(s): J.P. Morgan Securities (Far East) 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: 16.
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 |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2021-11-22 | present |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2021-11-22 | present |
| J.P. Morgan Securities (Far East) Limited | RO | Type 6 — Advising on corporate finance | 2021-11-22 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2021-07-16 | 2021-11-22 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2021-07-02 | 2021-11-22 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2021-07-02 | 2021-11-22 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-24 | 2021-04-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-10-24 | 2021-04-01 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-14 | 2018-09-01 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-14 | 2018-09-01 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-14 | 2018-09-01 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-10-14 | 2018-09-01 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-09-03 | 2016-09-09 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-09 | 2013-07-03 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-08-09 | 2013-07-03 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-06 | 2008-08-08 |