Personnel Hong Kong SFC License Details (ID 41941)

Personnel Hong Kong SFC License Details (ID 41941)

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
TIS SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2010-05-14	2011-12-31
	RO	Dealing in securities	2010-05-14	2011-12-31
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2009-12-21	-
KGI CAPITAL (HONG KONG) LIMITED	RO	Dealing in securities	2008-06-20	2009-01-01
	RO	Advising on corporate finance	2006-12-13	2009-01-01
	Rep	Advising on corporate finance	2006-04-18	2006-12-13
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on corporate finance	2006-04-18	2009-12-19
	Rep	Dealing in securities	2006-04-18	2009-12-19
MEGA CAPITAL (ASIA) COMPANY LIMITED	RO	Dealing in securities	2004-08-30	2006-04-09
	Rep	Advising on corporate finance	2003-04-01	2006-04-09