Personnel Hong Kong SFC License Details (ID 104470)

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	Dealing in securities	2017-10-03	2020-12-16
	Rep	Dealing in securities	2013-09-23	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-09-23	2020-12-16
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-09-23	2017-10-02
	RO	Dealing in securities	2013-04-25	2013-09-23
KGI ASIA LIMITED	RO	Dealing in securities	2013-03-11	2013-09-23
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2013-03-11	2013-09-23
KGI ASIA LIMITED	Rep	Dealing in securities	2012-04-24	2013-03-11
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-04-24	2013-03-11
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2006-10-19	2008-10-01
	RO	Dealing in securities	2006-03-17	2008-10-01
KGI ASIA LIMITED	RO	Dealing in securities	2006-01-23	2006-02-18
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2006-01-23	2006-02-18
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2006-01-23	2006-02-18
KGI ASIA LIMITED	Rep	Dealing in securities	2005-12-02	2006-01-23
	Rep	Advising on securities	2005-12-02	2006-02-18
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-12-02	2006-01-23
	Rep	Advising on futures contracts	2005-12-02	2006-02-18
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-12-02	2006-01-23
	Rep	Advising on securities	2005-12-02	2006-02-18
SINOPAC FUTURES (ASIA) LIMITED	RO	Asset management	2005-03-22	2005-10-06
SINOPAC SECURITIES (ASIA) LIMITED	RO	Asset management	2005-03-22	2005-10-06
SINOPAC FUTURES (ASIA) LIMITED	RO	Asset management	2004-04-26	2004-12-26
	RO	Advising on futures contracts	2004-04-26	2005-11-22
SINOPAC SECURITIES (ASIA) LIMITED	RO	Asset management	2004-04-26	2004-12-26
	RO	Advising on securities	2004-04-26	2005-11-22
SINOPAC FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2004-01-28	2005-11-22
SINOPAC SECURITIES (ASIA) LIMITED	RO	Dealing in securities	2004-01-28	2005-11-22
Yuanta Asia Investment (Hong Kong) Limited	RO	Dealing in futures contracts	2003-11-26	2003-12-22
	RO	Dealing in securities	-	2003-12-22