Personnel Hong Kong SFC License Details (ID 75457)

Personnel Hong Kong SFC License Details (ID 75457)

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
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2026-07-28	-
KGI ASIA LIMITED	Rep	Dealing in securities	2026-05-08	-
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2016-04-12	2024-02-01
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2016-02-19	2016-04-07
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2016-02-19	2016-04-07
China Securities (International) Brokerage Company Limited	Rep	Dealing in futures contracts	2015-09-14	2016-02-06
	Rep	Dealing in securities	2015-09-14	2016-02-06
FRONTIER CAPITAL MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2015-02-13	2015-08-17
	Rep	Asset management	2015-02-13	2015-08-17
	Rep	Dealing in securities	2015-02-13	2015-08-17
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2010-06-11	2013-07-18
CLSA LIMITED	Rep	Dealing in securities	2010-06-11	2013-07-18
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2009-06-25	2010-03-15
	Rep	Dealing in futures contracts	2009-06-25	2010-03-15
	Rep	Advising on securities	2009-03-02	2010-03-15
	Rep	Dealing in securities	2009-03-02	2010-03-15