Personnel Hong Kong SFC License Details (ID 104129)

Personnel Hong Kong SFC License Details (ID 104129)

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	Rep	Advising on securities	2025-12-15	-
	Rep	Dealing in securities	2025-12-15	-
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2025-12-15	-
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2006-08-09	2006-08-19
	Rep	Dealing in securities	2006-08-09	2006-08-19
	RO	Advising on securities	2006-02-09	2006-08-09
	RO	Dealing in securities	2006-02-09	2006-08-09
CITIC FRONTIER CHINA RESEARCH LIMITED	Rep	Advising on securities	2004-08-12	2006-02-01
	Rep	Dealing in securities	2004-08-12	2006-02-01