Personnel Hong Kong SFC License Details (ID 81849)

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
Changjiang Securities Brokerage (HK) Limited	RO	Dealing in securities	2019-05-06	2019-08-23
	Rep	Dealing in securities	2018-06-20	2019-05-06
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2017-04-20	2018-05-19
	Rep	Dealing in securities	2017-04-20	2018-05-19
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2017-04-20	2018-05-19
Yunfeng Financial Markets Limited	RO	Dealing in securities	2015-12-17	2017-01-06
Yunfeng Securities Limited	RO	Dealing in securities	2015-12-17	2017-01-06
	Rep	Dealing in securities	2015-03-16	2015-12-17
Yunfeng Financial Markets Limited	Rep	Dealing in securities	2014-07-18	2015-12-17
KGI ASIA LIMITED	Rep	Advising on securities	2013-08-07	2014-07-13
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-12-11	2013-06-21
KGI ASIA LIMITED	Rep	Dealing in securities	2012-10-16	2014-07-13
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-06-01	2012-07-11
CMB International Securities Limited	RO	Dealing in securities	2010-08-25	2011-05-01
CMB International Capital Holdings Corporation Limited	Rep	Dealing in securities	2010-06-14	2011-05-01
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2009-09-22	2010-06-07
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2008-05-28	2009-09-14
ABCI Securities Company Limited	Rep	Advising on securities	2007-09-12	2008-05-08
	Rep	Dealing in securities	2007-09-12	2008-05-08
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Asset management	2007-05-02	2007-09-01
	Rep	Advising on securities	2007-01-16	2007-09-01
	Rep	Dealing in securities	2007-01-16	2007-09-01
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2006-09-20	2006-12-22
	Rep	Dealing in securities	2006-09-18	2006-12-22
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2005-04-26	2006-09-09