Kwok Wai Lui
呂國威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Wai Lui (呂國威), a licensed Responsible Officer with CE reference BHF628. Currently licensed at 1 firm(s): OCI Asset Management Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 10.
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 |
|---|---|---|---|---|
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-28 | present |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-01-14 | present |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 9 — Asset management | 2021-01-14 | present |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-09-01 | 2018-06-22 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 9 — Asset management | 2017-05-10 | 2020-07-30 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-12 | 2020-07-30 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-12 | 2020-07-30 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-08-02 | 2016-09-23 |
| Haitong International Capital (HK) Limited 海通國際融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-08-02 | 2016-09-23 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-24 | 2016-09-23 |