Kit Ying Kwok
郭潔凝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kit Ying Kwok (郭潔凝), a licensed Responsible Officer with CE reference AXZ904. Currently licensed at 1 firm(s): First Sentier Investors (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Sentier Investors (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2022-06-20 | present |
| First Sentier Investors (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2022-06-20 | present |
| First Sentier Investors (Hong Kong) Limited | RO | Type 9 — Asset management | 2022-06-20 | present |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2021-08-17 | 2022-06-20 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2021-08-04 | 2022-06-20 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 9 — Asset management | 2021-08-04 | 2022-06-20 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-05-30 | 2021-06-10 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-05-30 | 2021-06-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | 2017-08-17 | 2019-08-14 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2019-08-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2016-07-20 | 2019-08-14 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-07-20 | 2016-10-10 |
| Moody's Investors Service Hong Kong Limited | Rep | Type 10 — Providing credit rating services | 2011-09-08 | 2015-06-06 |