Personnel SFC Licences and HKMA Registrations (ID 8223)

Key Data Licences & registrations 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 Asset Management Limited	Rep	Asset management	2025-01-28	-
	RO	Asset management	2024-03-25	2025-01-28
KGI ASIA LIMITED	Rep	Advising on securities	2023-05-19	-
	Rep	Dealing in securities	2023-05-19	-
KGI Asset Management Limited	Rep	Asset management	2023-05-19	2024-03-25
ZEAL ASSET MANAGEMENT LIMITED	RO	Asset management	2022-08-15	2023-03-17
	Rep	Asset management	2021-03-19	2022-08-15
	Rep	Advising on securities	2021-03-19	2023-03-17
	Rep	Dealing in securities	2021-03-19	2023-03-17
dLab Asset Management Limited	RO	Advising on securities	2019-02-13	2021-01-03
	RO	Asset management	2017-07-11	2021-01-03
Sprout Asset Management (Asia) Limited	RO	Asset management	2017-03-07	2017-04-28
	Rep	Asset management	2017-01-20	2017-03-07
KGI Asset Management Limited	RO	Asset management	2016-05-06	2016-10-01
LW Asset Management Advisors Limited	RO	Asset management	2013-05-08	2015-10-20
Standard Advisory Asia Limited	RO	Advising on futures contracts	2007-03-09	2007-04-16
	RO	Advising on securities	2007-03-09	2007-04-16
	RO	Dealing in futures contracts	2007-03-09	2007-04-16
	RO	Dealing in securities	2007-03-09	2007-04-16
BOCI SECURITIES LIMITED	RO	Dealing in futures contracts	2005-10-06	2006-04-13
BOCI ASIA LIMITED	RO	Dealing in securities	2004-12-03	2006-04-13
BOCI SECURITIES LIMITED	RO	Dealing in securities	2004-12-03	2006-04-13
BOCI COMMODITIES &AMP; FUTURES LIMITED	RO	Dealing in futures contracts	2003-07-22	2006-04-13
	Rep	Advising on futures contracts	2003-04-01	2003-06-10
	Rep	Asset management	2003-04-01	2003-06-10
	Rep	Dealing in futures contracts	2003-04-01	2003-07-22
BOCI SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-10
	Rep	Advising on securities	2003-04-01	2003-06-10
	Rep	Asset management	2003-04-01	2003-06-10
	Rep	Dealing in securities	2003-04-01	2004-12-03

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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