Personnel Hong Kong SFC License Details (ID 68590)

Personnel Hong Kong SFC License Details (ID 68590)

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
CNI Securities Group Limited	Rep	Dealing in securities	2020-05-20	-
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2020-02-25
	Rep	Dealing in securities	2015-07-03	2017-10-02
CORPORATE BROKERS LIMITED	Rep	Dealing in securities	2015-04-28	2015-06-17
CHINA RISE SECURITIES ASSET MANAGEMENT COMPANY LIMITED	Rep	Dealing in securities	2014-07-14	2015-01-12
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2013-01-21	2014-02-27
ABCI Securities Company Limited	Rep	Dealing in securities	2010-04-12	2012-07-25
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-09-07	2010-02-26
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2009-06-03	2009-08-22
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2008-11-04	2009-05-05