Personnel Hong Kong SFC License Details (ID 101557)

Personnel Hong Kong SFC License Details (ID 101557)

Key Data SFC Licenses 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
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-08-21	2011-07-19
	Rep	Dealing in securities	2007-08-21	2011-07-19
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-11-29	2007-08-10
KGI ASIA LIMITED	Rep	Dealing in securities	2006-11-14	2007-08-10
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-04-12	2006-11-01
KARL-THOMSON SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	-	2004-07-23
	Rep	Advising on securities	-	2004-07-23
	Rep	Asset management	-	2004-07-23
	Rep	Providing automated trading services	-	2004-07-23
	Rep	Dealing in securities	-	2005-04-08