Personnel Hong Kong SFC License Details (ID 103712)

Personnel Hong Kong SFC License Details (ID 103712)

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	Advising on securities	2011-12-19	2014-10-10
	RO	Dealing in securities	2011-12-19	2014-10-10
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2011-12-19	2014-10-10
	RO	Dealing in securities	2011-12-19	2014-10-10
AISANCE ASSET MANAGEMENT LIMITED	Rep	Asset management	2011-10-12	2013-02-21
KGI ASIA LIMITED	Rep	Advising on securities	2011-10-12	2011-12-19
	Rep	Dealing in securities	2011-10-12	2011-12-19
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2011-10-12	2011-12-19
	Rep	Dealing in securities	2011-10-12	2011-12-19
HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2008-11-19	2011-08-02
	RO	Dealing in securities	2008-11-19	2011-08-02
	Rep	Advising on securities	2008-08-13	2008-11-19
	Rep	Dealing in securities	2008-08-13	2008-11-19
PIONEER GLOBAL INVESTMENTS (HK) LIMITED	RO	Advising on securities	2005-02-24	2008-07-19
	RO	Dealing in securities	2005-02-24	2008-07-19
	Rep	Advising on corporate finance	-	2004-03-01
	Rep	Asset management	-	2004-03-01
	Rep	Advising on securities	-	2005-02-24
	Rep	Dealing in securities	-	2005-02-24