Personnel Hong Kong SFC License Details (ID 1934758)

Personnel Hong Kong SFC License Details (ID 1934758)

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
UX SECURITIES LIMITED	Rep	Dealing in securities	2025-04-07	-
ASA SECURITIES LIMITED	Rep	Dealing in futures contracts	2020-02-26	2025-03-31
	Rep	Dealing in securities	2020-02-26	2025-03-31
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2020-02-14
	Rep	Dealing in securities	2014-02-20	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-02-20	2020-02-14
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2013-07-15	2014-01-16
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2013-07-15	2014-01-16
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2013-07-15	2014-01-16
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-08-24	2013-06-17
KGI ASIA LIMITED	Rep	Dealing in securities	2012-08-03	2013-06-17