Personnel SFC Licences and HKMA Registrations (ID 124827)

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
CAPITAL GLOBAL MANAGEMENT LIMITED	RO	Advising on securities	2021-03-05	-
	RO	Asset management	2021-03-05	-
	Rep	Dealing in securities	2021-03-05	-
	RO	Advising on securities	2018-09-26	2019-01-31
	Rep	Dealing in securities	2017-11-07	2019-01-31
	RO	Asset management	2017-08-21	2019-01-31
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2008-11-17	2009-12-19
	RO	Dealing in securities	2008-11-17	2009-12-19
	Rep	Advising on securities	2008-03-27	2008-11-17
	Rep	Dealing in securities	2008-03-27	2008-11-17

HKMA registrations

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

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