Personnel Hong Kong SFC License Details (ID 105844)

Personnel Hong Kong SFC License Details (ID 105844)

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
FUBON SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2012-05-18	2015-10-18
	RO	Dealing in securities	2012-05-18	2015-10-18
KGI ASIA LIMITED	RO	Advising on securities	2008-06-23	2010-04-01
	RO	Dealing in securities	2005-03-09	2010-04-01
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2005-03-09	2010-04-01
KGI ASIA LIMITED	Rep	Dealing in securities	2003-11-14	2005-03-09
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-11-14	2005-03-09
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2003-09-16
	Rep	Advising on securities	-	2003-09-16
	Rep	Providing automated trading services	-	2003-09-16
	Rep	Dealing in securities	-	2003-09-16
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2003-09-16
	Rep	Dealing in futures contracts	-	2003-09-16