Wong, Chak Wai (SFC:ACN129) 黃集蔚

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UOB KAY HIAN (HONG KONG) LIMITED	RO	Advising on securities	2022-11-14	-
	RO	Dealing in securities	2022-11-14	-
	Rep	Advising on securities	2022-04-20	2022-11-14
	Rep	Dealing in securities	2022-04-20	2022-11-14
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2022-04-20	-
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2018-09-03	2022-01-25
	RO	Dealing in futures contracts	2018-09-03	2022-01-25
	RO	Dealing in securities	2018-09-03	2022-01-25
	Rep	Advising on securities	2018-06-07	2018-09-03
	Rep	Dealing in futures contracts	2018-06-07	2018-09-03
	Rep	Dealing in securities	2018-06-07	2018-09-03
KGI Asset Management Limited	RO	Asset management	2018-03-29	2018-05-05
KGI CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2018-03-29	2018-05-05
KGI FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2018-03-29	2018-05-05
	RO	Dealing in futures contracts	2018-03-29	2018-05-05
KGI ASIA LIMITED	RO	Advising on securities	2017-10-03	2018-05-05
	RO	Dealing in securities	2017-10-03	2018-05-05
KGI Asset Management Limited	RO	Dealing in securities	2016-08-08	2018-05-05
	RO	Advising on securities	2015-05-04	2018-05-05
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2014-07-29	2017-10-02
KGI CAPITAL ASIA LIMITED	RO	Advising on securities	2014-07-29	2018-05-05
	RO	Dealing in securities	2014-07-29	2018-05-05
KGI SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2014-07-29	2017-10-02
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2014-07-29	2017-10-02
	RO	Dealing in securities	2014-07-29	2017-10-02
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2013-07-26	2017-10-02
KGI ASIA LIMITED	RO	Advising on securities	2013-03-26	2017-10-02
	RO	Dealing in securities	2013-03-26	2017-10-02
	Rep	Advising on securities	2013-01-09	2013-03-26
	Rep	Dealing in securities	2013-01-09	2013-03-26
Credit Agricole Securities (Asia) Limited	RO	Dealing in securities	2005-07-20	2010-11-01
	Rep	Dealing in securities	2005-06-07	2005-07-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.