Personnel SFC Licences and HKMA Registrations (ID 2392829)

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	Advising on securities	2021-09-24	-
	Rep	Dealing in securities	2021-09-24	-
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2021-09-24	-
	Rep	Dealing in futures contracts	2021-09-24	-
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2020-10-16	2021-06-18
	Rep	Dealing in futures contracts	2020-10-16	2021-06-18
	Rep	Advising on securities	2020-01-02	2021-06-18
	Rep	Dealing in securities	2020-01-02	2021-06-18
MUFG Securities Asia Limited	Rep	Dealing in futures contracts	2016-04-14	2019-09-16
	Rep	Dealing in securities	2015-03-16	2019-09-16

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.