Personnel Hong Kong SFC License Details (ID 78078)

Personnel Hong Kong SFC License Details (ID 78078)

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
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2008-12-29	-
	Rep	Dealing in futures contracts	2007-10-08	-
	Rep	Dealing in securities	2006-02-16	-
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-02-16	2007-11-01
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2005-10-18	2005-12-17
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2005-10-17	2005-12-17
	Rep	Dealing in securities	2005-10-17	2005-12-17
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2005-10-17	2005-12-17
	Rep	Dealing in futures contracts	2005-10-17	2005-12-17
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2005-01-03	2005-10-14
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-01-03	2005-10-14
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	Dealing in securities	2004-08-17	2004-12-20
	Rep	Dealing in futures contracts	2004-08-06	2004-12-20
JS SECURITIES LIMITED (HK)	Rep	Dealing in securities	2004-05-25	2004-12-20
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2004-03-23	2004-08-17
SUNWAH KINGSWAY FUTURES LIMITED	Rep	Dealing in futures contracts	2004-03-23	2004-12-20
KGI ASIA LIMITED	Rep	Dealing in securities	2003-11-14	2004-02-21
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-11-14	2004-02-21
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2003-11-14	2004-02-21