Personnel Hong Kong SFC License Details (ID 73794)

Personnel Hong Kong SFC License Details (ID 73794)

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
CTBC Asia Limited	RO	Advising on corporate finance	2006-03-13	2022-08-01
	RO	Advising on securities	2006-03-13	2022-08-01
	RO	Asset management	2006-03-13	2022-08-01
	RO	Dealing in securities	2006-03-13	2022-08-01
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on corporate finance	2005-05-30	2005-10-07
	RO	Advising on securities	2005-05-30	2005-10-07
	RO	Dealing in securities	2005-05-30	2005-10-07
	Rep	Advising on corporate finance	2004-10-25	2005-05-30
	Rep	Advising on securities	2004-10-25	2005-05-30
	Rep	Asset management	2004-08-30	2005-03-18
	Rep	Dealing in securities	2004-08-30	2005-05-30
CTBC Asia Limited	RO	Asset management	2004-01-14	2004-03-15
	RO	Dealing in securities	2004-01-14	2004-03-15