Personnel SFC Licences and HKMA Registrations (ID 107501)

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	-
	Rep	Dealing in securities	2013-09-11	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-09-11	-
RC Futures Advisory Limited	RO	Advising on futures contracts	2010-05-19	2013-08-31
KGI ASIA LIMITED	Rep	Dealing in securities	2003-08-19	2010-04-24
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-08-19	2010-04-24
KGI ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-03
	Rep	Advising on securities	2003-04-01	2003-06-03
	Rep	Asset management	2003-04-01	2003-06-03
	Rep	Dealing in securities	2003-04-01	2003-06-03
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-06-03
	Rep	Asset management	2003-04-01	2003-06-03
	Rep	Dealing in futures contracts	2003-04-01	2003-06-03

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.