Personnel SFC Licences and HKMA Registrations (ID 17357)

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
ABLELINK CAPITAL LIMITED	RO	Asset management	2016-02-05	2018-12-31
Cornucopiae Asset Management Limited	RO	Asset management	2011-08-02	2015-05-01
KGI CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2010-03-22	2011-03-08
	RO	Advising on securities	2010-03-22	2011-03-08
	RO	Dealing in securities	2010-03-22	2011-03-08
KGI CAPITAL (HONG KONG) LIMITED	RO	Dealing in securities	2009-03-04	2010-04-01
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2005-10-10	2011-03-08
KGI CAPITAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2005-07-08	2010-04-01
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on corporate finance	2003-07-30	2010-04-01
	RO	Dealing in securities	2003-07-30	2011-03-08
	Rep	Advising on corporate finance	2003-06-25	2003-07-30
	Rep	Dealing in securities	2003-06-25	2003-07-30
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	-	2003-06-25
	RO	Dealing in securities	-	2003-06-25

HKMA registrations

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

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