Personnel SFC Licences and HKMA Registrations (ID 103186)

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	Advising on securities	2022-09-08	-
	RO	Dealing in securities	2022-09-08	-
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2022-09-08	-
KGI ASIA LIMITED	Rep	Dealing in securities	2022-06-30	2022-09-08
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2022-06-30	2022-09-08
China Galaxy International Futures (Hong Kong) Co., Limited	RO	Dealing in futures contracts	2011-12-14	2022-05-31
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Dealing in securities	2011-12-14	2022-05-31
	Rep	Dealing in securities	2011-10-14	2011-12-14
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2009-11-17	2011-09-11
	Rep	Dealing in securities	2009-11-17	2011-09-11
	Rep	Leveraged foreign exchange trading	2009-11-17	2011-09-11
CES Commodities (HK) Limited	Rep	Advising on futures contracts	2003-04-01	2004-01-16
	Rep	Asset management	2003-04-01	2004-01-16
	Rep	Dealing in futures contracts	2003-04-01	2009-09-01
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2003-04-01	2009-09-01
Everbright Securities Investment Services (HK) Limited	Rep	Providing automated trading services	2003-04-01	2003-07-07
	Rep	Advising on corporate finance	2003-04-01	2004-01-16
	Rep	Advising on securities	2003-04-01	2004-01-16
	Rep	Asset management	2003-04-01	2004-01-16
	Rep	Dealing in securities	2003-04-01	2009-09-01

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.