Personnel Hong Kong SFC License Details (ID 12052969)

Personnel Hong Kong SFC License Details (ID 12052969)

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
KGI ASIA LIMITED	Rep	Advising on securities	2025-09-25	-
	Rep	Dealing in securities	2020-06-17	-
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2020-06-17	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2020-02-20	2020-05-27
	Rep	Dealing in futures contracts	2020-02-20	2020-05-27
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2020-02-20	2020-05-27
	Rep	Dealing in securities	2020-02-20	2020-05-27
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-12-01	2018-03-04
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2018-03-04
	Rep	Dealing in securities	2017-09-15	2017-10-02