Personnel SFC Licences and HKMA Registrations (ID 136013)

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	Dealing in securities	2020-12-09	-
	Rep	Advising on securities	2020-11-27	-
KGI Asset Management Limited	Rep	Asset management	2020-11-27	-
ZHONGTAI INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2016-08-10	2020-11-15
	Rep	Asset management	2016-08-10	2020-11-15
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2014-08-27	2015-10-07
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Advising on securities	2014-06-04	2015-10-07
	Rep	Dealing in securities	2014-06-04	2015-10-07
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2012-01-10	2014-05-24
	Rep	Dealing in securities	2012-01-10	2014-05-24

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.