Personnel Hong Kong SFC License Details (ID 76950)

Personnel Hong Kong SFC License Details (ID 76950)

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 ASIA LIMITED	Rep	Dealing in securities	2017-10-03	-
	Rep	Dealing in securities	2014-07-10	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-07-10	-
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-25
	Rep	Advising on securities	2003-04-01	2004-06-25
	Rep	Asset management	2003-04-01	2004-06-25
	Rep	Providing automated trading services	2003-04-01	2004-06-25
	Rep	Dealing in securities	2003-04-01	2014-06-21
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-25
	Rep	Asset management	2003-04-01	2004-06-25
	Rep	Dealing in futures contracts	2003-04-01	2014-06-21
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-25
	Rep	Advising on securities	2003-04-01	2004-06-25
	Rep	Asset management	2003-04-01	2004-06-25
	Rep	Providing automated trading services	2003-04-01	2004-06-25
	Rep	Dealing in securities	2003-04-01	2014-06-21