Sze Wai Mok
莫施煒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sze Wai Mok (莫施煒), a licensed Responsible Officer with CE reference ASS432. Currently licensed at 1 firm(s): BNP Paribas Securities (Asia) Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-09-19 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-08-02 | 2024-09-19 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-25 | 2017-01-31 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-25 | 2017-01-31 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-06-25 | 2017-01-31 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-15 | 2015-06-05 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-05-15 | 2015-06-05 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-05-15 | 2015-06-05 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-03 | 2014-12-30 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-07-03 | 2014-12-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-28 | 2012-06-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-05-28 | 2012-06-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-01 | 2012-04-12 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-08-01 | 2012-04-12 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-08 | 2010-08-02 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-08 | 2010-08-02 |