Personnel Hong Kong SFC License Details (ID 76850)

Personnel Hong Kong SFC License Details (ID 76850)

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
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2020-07-28	2021-11-12
Minerva Holding Financial Securities Limited	Rep	Dealing in securities	2018-09-17	2020-01-16
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2018-08-28
	Rep	Dealing in securities	2015-07-28	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-07-28	2018-08-28
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2014-04-01	2015-07-18
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2014-02-25	2015-07-18
	Rep	Dealing in securities	2012-05-11	2015-07-18
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-07-06	2012-04-23
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-06-16	2012-04-23
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2008-06-16	2012-04-23
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Dealing in securities	2006-05-10	2008-05-23
	Rep	Advising on securities	2005-05-25	2008-05-23