Personnel Hong Kong SFC License Details (ID 2312333)

Personnel Hong Kong SFC License Details (ID 2312333)

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
ENHANCED INVESTMENT PRODUCTS LIMITED	Rep	Advising on futures contracts	2023-09-18	-
	Rep	Advising on securities	2023-09-18	-
	Rep	Asset management	2023-09-18	-
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2023-08-31
	Rep	Dealing in securities	2017-10-03	2023-08-31
	Rep	Advising on securities	2016-08-17	2017-10-02
	Rep	Dealing in securities	2016-08-17	2017-10-02
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2015-05-26	2016-05-20
	Rep	Dealing in securities	2015-02-16	2015-05-16
	Rep	Dealing in securities	2014-11-19	2014-11-27
	Rep	Dealing in securities	2014-10-14	2014-10-17
	Rep	Dealing in securities	2014-08-25	2014-09-15