Personnel SFC Licences and HKMA Registrations (ID 107953)

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
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2019-10-21	-
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2019-08-21	-
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2019-08-08
	Rep	Dealing in securities	2017-10-03	2019-08-08
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-09-07	2019-08-08
KGI ASIA LIMITED	Rep	Advising on securities	2016-08-03	2017-10-02
	Rep	Dealing in securities	2016-08-03	2017-10-02
CAIIS Limited	Rep	Advising on securities	2008-05-23	2011-01-31
	Rep	Dealing in securities	2008-05-23	2011-01-31
WINTECH SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-18
	Rep	Advising on securities	2003-04-01	2004-02-18
	Rep	Asset management	2003-04-01	2004-02-18
	Rep	Dealing in securities	2003-04-01	2004-03-22

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.