Personnel Hong Kong SFC License Details (ID 79393)

Personnel Hong Kong SFC License Details (ID 79393)

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
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2016-03-21	-
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-02-09	2016-02-18
EXECUTION NOBLE (HONG KONG) LIMITED (TRADING AS ESPIRITO SANTO SECURITIES)	Rep	Dealing in securities	2006-03-13	2014-09-12
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-09-07	2006-03-01
KGI ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-01
	Rep	Advising on securities	2003-04-01	2004-06-01
	Rep	Asset management	2003-04-01	2004-06-01
	Rep	Dealing in securities	2003-04-01	2006-03-01
KGI SECURITIES (HONG KONG) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-07-21
	Rep	Advising on corporate finance	2003-04-01	2004-06-01
	Rep	Advising on securities	2003-04-01	2004-06-01
	Rep	Asset management	2003-04-01	2004-06-01
	Rep	Dealing in securities	2003-04-01	2006-03-01