Personnel Hong Kong SFC License Details (ID 2081856)

Personnel Hong Kong SFC License Details (ID 2081856)

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	Dealing in securities	2020-10-27	-
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2020-10-27	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2019-11-18	2019-12-12
	Rep	Advising on securities	2019-11-18	2019-12-12
	Rep	Dealing in futures contracts	2019-11-18	2019-12-12
	Rep	Dealing in securities	2019-10-17	2019-12-12
SPDB International Capital Limited	Rep	Dealing in securities	2017-10-23	2019-07-28
KGI ASIA LIMITED	Rep	Dealing in securities	2013-06-07	2017-06-12
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-06-07	2017-06-12