Personnel Hong Kong SFC License Details (ID 102709)

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
KGI ASIA LIMITED	RO	Dealing in securities	2026-07-23	-
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2026-05-27	-
KGI ASIA LIMITED	Rep	Dealing in securities	2025-12-12	2026-07-23
KGI Asset Management Limited	Rep	Asset management	2025-12-12	-
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2023-05-03	2025-10-11
	RO	Advising on securities	2023-05-03	2025-10-11
	RO	Asset management	2023-05-03	2025-10-11
	RO	Dealing in futures contracts	2023-05-03	2025-10-11
	RO	Dealing in securities	2023-05-03	2025-10-11
	Rep	Dealing in futures contracts	2023-03-01	2023-05-03
	Rep	Dealing in securities	2023-03-01	2023-05-03
KGI ASIA LIMITED	Rep	Dealing in securities	2020-11-05	2023-02-13
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2020-11-05	2023-02-13
China Securities (International) Brokerage Company Limited	RO	Advising on futures contracts	2019-01-04	2020-05-15
	RO	Advising on securities	2019-01-04	2020-05-15
	RO	Dealing in futures contracts	2019-01-04	2020-05-15
	RO	Dealing in securities	2019-01-04	2020-05-15
	Rep	Advising on futures contracts	2018-11-12	2019-01-04
	Rep	Advising on securities	2018-10-22	2019-01-04
	Rep	Dealing in futures contracts	2018-10-22	2019-01-04
	Rep	Dealing in securities	2018-10-22	2019-01-04
KGI ASIA LIMITED	RO	Advising on securities	2017-10-03	2018-09-18
	RO	Dealing in securities	2017-10-03	2018-09-18
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2017-05-23	2017-10-02
KGI Asset Management Limited	RO	Advising on securities	2016-07-26	2018-09-18
	RO	Dealing in securities	2016-07-26	2018-09-18
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2015-07-23	2018-09-18
KGI ASIA LIMITED	RO	Advising on securities	2015-02-02	2017-10-02
	RO	Dealing in securities	2015-02-02	2017-10-02
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2015-02-02	2017-10-02
	RO	Dealing in securities	2015-02-02	2017-10-02
KGI ASIA LIMITED	Rep	Advising on securities	2014-10-22	2015-02-02
	Rep	Dealing in securities	2014-10-22	2015-02-02
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2014-10-22	2015-02-02
	Rep	Dealing in securities	2014-10-22	2015-02-02
KGI ASIA LIMITED	RO	Advising on securities	2006-01-21	2011-01-01
	RO	Dealing in securities	2006-01-21	2011-01-01
	Rep	Dealing in securities	2005-04-20	2006-01-21