Personnel Hong Kong SFC License Details (ID 104201)

Personnel Hong Kong SFC License Details (ID 104201)

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
De Riva Asia Limited	Rep	Dealing in futures contracts	2010-11-12	2011-07-21
	Rep	Dealing in securities	2010-11-12	2011-07-21
KGI ASIA LIMITED	Rep	Dealing in securities	2007-07-10	2010-11-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-07-10	2010-11-06
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-07-10	2010-11-06
KGI ASIA LIMITED	Rep	Advising on corporate finance	-	2004-06-03
	Rep	Advising on securities	-	2004-06-03
	Rep	Asset management	-	2004-06-03
	Rep	Dealing in securities	-	2007-02-08
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-06-03
	Rep	Asset management	-	2004-06-03
	Rep	Dealing in futures contracts	-	2007-02-08
KGI SECURITIES (HONG KONG) LIMITED	Rep	Providing automated trading services	-	2003-07-21
	Rep	Advising on corporate finance	-	2004-06-03
	Rep	Advising on securities	-	2004-06-03
	Rep	Asset management	-	2004-06-03
	Rep	Dealing in securities	-	2007-02-08