Personnel Hong Kong SFC License Details (ID 73326)

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
JAKK CAPITAL MANAGEMENT LIMITED	RO	Advising on securities	2023-12-04	2026-01-20
	RO	Asset management	2023-12-04	2026-01-20
ABCI Securities Company Limited	Rep	Advising on securities	2019-09-06	2023-05-12
	Rep	Dealing in securities	2019-09-06	2023-05-12
BTIG Hong Kong Limited	Rep	Dealing in securities	2015-03-19	2019-05-31
China Jianxin Financial Services Limited	Rep	Dealing in securities	2014-11-11	2015-02-01
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2007-10-12	2014-09-23
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2004-12-09	2007-09-29
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-12-09	2007-09-29
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2003-09-16	2004-12-08
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2003-09-16	2004-12-08
AISANCE ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Dealing in futures contracts	-	2003-06-06
KGI ASIA LIMITED	Rep	Advising on corporate finance	-	2003-06-06
	Rep	Advising on securities	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Dealing in securities	-	2003-06-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Dealing in futures contracts	-	2003-06-06
KGI SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-06-06
	Rep	Advising on securities	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Providing automated trading services	-	2003-06-06
	Rep	Dealing in securities	-	2003-06-06