Personnel Hong Kong SFC License Details (ID 125455)

Personnel Hong Kong SFC License Details (ID 125455)

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	2015-03-16	2017-02-16
	Rep	Dealing in securities	2015-03-16	2017-02-16
LW Asset Management Advisors Limited	Rep	Asset management	2013-07-18	2015-01-31
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-03-12	2013-06-24
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-03-12	2013-06-24
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2008-05-20	2010-07-09
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2008-05-20	2010-07-09