Personnel Hong Kong SFC License Details (ID 2351536)

Personnel Hong Kong SFC License Details (ID 2351536)

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
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2019-11-19	-
Interactive Brokers Hong Kong Limited	Rep	Leveraged foreign exchange trading	2016-08-16	2018-02-16
	Rep	Dealing in futures contracts	2016-05-11	2018-02-16
	Rep	Dealing in securities	2016-04-07	2018-02-16
KGI CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2015-08-21	2015-11-19
	Rep	Dealing in securities	2015-08-21	2015-11-19
KGI ASIA LIMITED	Rep	Advising on securities	2014-11-27	2015-08-10
	Rep	Dealing in securities	2014-11-27	2015-08-10