Personnel Hong Kong SFC License Details (ID 104587)

Personnel Hong Kong SFC License Details (ID 104587)

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
Tora Trading Services Limited (HK)	RO	Providing automated trading services	2011-04-08	2026-04-02
	RO	Dealing in futures contracts	2010-12-21	-
	RO	Dealing in securities	2010-12-21	-
	Rep	Dealing in futures contracts	2009-12-18	2010-12-21
	Rep	Dealing in securities	2009-12-18	2010-12-21
KGI ASIA LIMITED	Rep	Dealing in securities	2009-01-23	2009-04-22
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-01-23	2009-04-22
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-01-23	2009-04-22
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-06	2008-12-11
	Rep	Dealing in futures contracts	2008-11-06	2008-12-11
	Rep	Dealing in securities	2008-09-03	2008-12-11
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2008-09-03	2008-12-11
	Rep	Dealing in futures contracts	2008-09-03	2008-12-11
Newedge Broker Limited	Rep	Advising on futures contracts	2003-04-01	2003-06-19
	Rep	Asset management	2003-04-01	2003-06-19
	Rep	Providing automated trading services	2003-04-01	2003-06-19
	Rep	Dealing in futures contracts	2003-04-01	2003-06-19
	Rep	Dealing in securities	2003-04-01	2003-06-19