Personnel Hong Kong SFC License Details (ID 107705)

Personnel Hong Kong SFC License Details (ID 107705)

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
SARASIN RABO INVESTMENT MANAGEMENT LIMITED	Rep	Asset management	2004-02-20	2004-10-12
	Rep	Advising on securities	2004-02-20	2011-01-31
	Rep	Dealing in securities	2004-02-20	2011-01-31
KGI ASIA LIMITED	Rep	Advising on corporate finance	-	2004-02-07
	Rep	Advising on securities	-	2004-02-07
	Rep	Asset management	-	2004-02-07
	Rep	Dealing in securities	-	2004-02-07
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-02-07
	Rep	Asset management	-	2004-02-07
	Rep	Dealing in futures contracts	-	2004-02-07