Personnel Hong Kong SFC License Details (ID 76852)

Personnel Hong Kong SFC License Details (ID 76852)

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
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2016-07-01	-
	Rep	Dealing in securities	2014-11-13	2016-06-30
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2014-11-13	-
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2014-11-13	2016-06-30
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2013-11-14	2014-11-01
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2013-11-14	2014-11-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2006-04-13	2013-11-01
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2006-04-13	2013-11-01
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2006-04-13	2013-11-01
KGI ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-03
	Rep	Advising on securities	2003-04-01	2004-06-03
	Rep	Asset management	2003-04-01	2004-06-03
	Rep	Dealing in securities	2003-04-01	2006-02-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-03
	Rep	Asset management	2003-04-01	2004-06-03
	Rep	Dealing in futures contracts	2003-04-01	2006-02-06