Personnel Hong Kong SFC License Details (ID 78179)

Personnel Hong Kong SFC License Details (ID 78179)

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	Advising on securities	2025-06-05	2025-10-11
	Rep	Dealing in securities	2025-06-05	2025-10-11
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2025-06-05	2025-10-11
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2023-10-27	2025-02-19
CMB International Securities Limited	Rep	Advising on securities	2023-10-27	2025-02-19
	Rep	Dealing in securities	2023-10-27	2025-02-19
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-12-07	2013-05-31
	Rep	Dealing in securities	2005-10-14	2013-05-31
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2004-11-26	2005-09-28
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-07-08	2005-09-28
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-07-08	2005-09-28