Personnel Hong Kong SFC License Details (ID 76840)

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
Square Capital Management Limited	RO	Advising on securities	2026-03-27	-
	RO	Asset management	2026-03-27	-
	Rep	Advising on securities	2026-03-27	2026-03-27
	Rep	Asset management	2026-03-27	2026-03-27
BUSINESS SECURITIES LIMITED	RO	Advising on securities	2024-05-17	2025-02-07
	RO	Dealing in securities	2024-05-17	2025-02-07
EMPEROR SECURITIES LIMITED (HK)	Rep	Advising on securities	2024-04-17	2024-05-03
	Rep	Dealing in securities	2024-04-17	2024-05-03
	RO	Advising on securities	2023-09-29	2024-04-17
	RO	Dealing in securities	2023-09-29	2024-04-17
Emperor Asset Management Limited	Rep	Asset management	2023-06-14	2024-04-12
EMPEROR FUTURES LIMITED	Rep	Advising on futures contracts	2023-06-14	2024-05-03
	Rep	Dealing in futures contracts	2023-06-14	2024-05-03
EMPEROR SECURITIES LIMITED (HK)	Rep	Advising on securities	2023-06-14	2023-09-29
	Rep	Dealing in securities	2023-06-14	2023-09-29
Hong Kong Stock Link Securities Limited	RO	Dealing in securities	2018-03-07	2023-05-19
KGI ASIA LIMITED	Rep	Dealing in securities	2015-11-16	2016-10-08
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-11-16	2016-10-08
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-11-16	2016-10-08
KGI ASIA LIMITED	RO	Dealing in securities	2014-05-29	2015-11-16
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2014-05-29	2015-11-16
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2014-05-29	2015-11-16
KGI ASIA LIMITED	Rep	Dealing in securities	2014-03-17	2014-05-29
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-03-17	2014-05-29
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-03-17	2014-05-29
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Dealing in securities	2004-08-12	2014-01-23
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2004-08-12	2014-01-23
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2004-08-12	2014-01-23
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-14
	Rep	Advising on securities	2003-04-01	2004-06-14
	Rep	Asset management	2003-04-01	2004-06-14
	Rep	Providing automated trading services	2003-04-01	2004-06-14
	Rep	Dealing in securities	2003-04-01	2004-08-12
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-14
	Rep	Asset management	2003-04-01	2004-06-14
	Rep	Dealing in futures contracts	2003-04-01	2004-08-12
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-14
	Rep	Advising on securities	2003-04-01	2004-06-14
	Rep	Asset management	2003-04-01	2004-06-14
	Rep	Providing automated trading services	2003-04-01	2004-06-14
	Rep	Dealing in securities	2003-04-01	2004-08-12