Personnel Hong Kong SFC License Details (ID 117512)

Personnel Hong Kong SFC License Details (ID 117512)

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
SINOPAC FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2009-12-15	2011-04-24
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2009-12-15	2011-04-24
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2009-11-26	2011-04-24
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2009-11-26	2011-04-24
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-01-28	2009-10-15
KGI ASIA LIMITED	Rep	Dealing in securities	2006-05-12	2009-10-15
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-05-12	2009-10-15
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2005-12-07	2006-05-03
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2005-12-07	2006-05-03