Personnel Hong Kong SFC License Details (ID 74169)

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	RO	Advising on securities	2011-12-30	2013-07-01
	RO	Dealing in securities	2011-12-30	2013-07-01
KGI FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2011-12-30	2013-07-01
	RO	Dealing in futures contracts	2011-12-30	2013-07-01
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2011-12-30	2013-07-01
KGI ASIA LIMITED	Rep	Advising on securities	2011-11-09	2011-12-30
	Rep	Dealing in securities	2011-11-09	2011-12-30
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2011-11-09	2011-12-30
	Rep	Dealing in futures contracts	2011-11-09	2011-12-30
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-11-09	2011-12-30
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2010-11-04	2011-09-15
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2010-01-18	2011-09-15
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-06-10	2010-11-04
	RO	Dealing in futures contracts	2003-07-24	2004-06-10
CITIC Securities Brokerage (HK) Limited	Rep	Advising on corporate finance	-	2003-06-25
	Rep	Providing automated trading services	-	2004-03-11
	Rep	Asset management	-	2006-04-24
	Rep	Advising on securities	-	2008-01-29
	Rep	Dealing in securities	-	2010-01-18
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	-	2003-07-24