Personnel Hong Kong SFC License Details (ID 126817)

Personnel Hong Kong SFC License Details (ID 126817)

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
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2010-10-11	2011-04-04
	Rep	Dealing in futures contracts	2010-10-11	2011-04-04
	Rep	Dealing in securities	2010-10-11	2011-04-04
KGI ASIA LIMITED	Rep	Advising on securities	2010-05-31	2010-10-04
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-06-17	2010-10-04
KGI ASIA LIMITED	Rep	Dealing in securities	2009-05-19	2010-10-04
YF Life Investors Limited	Rep	Dealing in securities	2008-10-23	2009-03-10