Personnel Hong Kong SFC License Details (ID 79603)

Personnel Hong Kong SFC License Details (ID 79603)

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
CAPITAL GLOBAL MANAGEMENT LIMITED	RO	Advising on securities	2017-01-05	-
	RO	Asset management	2017-01-05	-
FIRST SECURITIES (HK) LIMITED	RO	Asset management	2009-08-03	-
TIS SECURITIES (HK) LIMITED	Rep	Advising on securities	2009-02-09	2009-03-08
KGI WEALTH MANAGEMENT LIMITED	RO	Asset management	2008-04-17	2009-01-01
	RO	Advising on securities	2007-10-08	2009-01-01
	Rep	Advising on securities	2007-09-14	2007-10-08
CTBC Asia Limited	RO	Advising on securities	2006-07-21	2007-08-15
	RO	Asset management	2006-07-21	2007-08-15
	Rep	Asset management	2004-07-06	2006-07-21