Personnel Hong Kong SFC License Details (ID 74893)

Personnel Hong Kong SFC License Details (ID 74893)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2026-05-21	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2026-05-21	-
	Rep	Dealing in securities	2026-05-21	-
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2026-05-21	-
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2021-05-20	2026-03-10
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2021-05-20	2026-03-10
	Rep	Dealing in securities	2021-05-20	2026-03-10
RONGTONG GLOBAL INVESTMENT LIMITED	Rep	Advising on securities	2020-05-22	2021-03-18
	Rep	Asset management	2020-05-22	2021-03-18
	Rep	Dealing in securities	2020-03-06	2021-03-18
KGI ASIA LIMITED	Rep	Dealing in securities	2019-11-25	2020-01-07
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-11-25	2020-01-07
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-05-31	2019-03-22
	Rep	Dealing in securities	2007-09-21	2019-03-22
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-09-21	2013-08-31
	Rep	Dealing in securities	2007-09-21	2013-08-31