Personnel SFC Licences and HKMA Registrations (ID 83385)

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	RO	Dealing in securities	2017-10-03	-
	RO	Dealing in securities	2014-12-18	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2014-12-18	-
KGI ASIA LIMITED	Rep	Dealing in securities	2014-09-22	2014-12-18
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-09-22	2014-12-18
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Dealing in futures contracts	2012-05-30	2014-09-08
	RO	Dealing in securities	2012-05-30	2014-09-08
	Rep	Dealing in futures contracts	2011-02-25	2012-05-30
	Rep	Dealing in securities	2011-02-25	2012-05-30
ENLIGHTEN FUTURES LIMITED	Rep	Dealing in futures contracts	2005-12-05	2011-02-07
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2005-12-05	2011-02-07
AISANCE ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-02
	Rep	Asset management	2003-04-01	2004-06-02
	Rep	Dealing in futures contracts	2003-04-01	2004-06-02
KGI ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-02
	Rep	Advising on securities	2003-04-01	2004-06-02
	Rep	Asset management	2003-04-01	2004-06-02
	Rep	Dealing in securities	2003-04-01	2005-12-01
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-02
	Rep	Asset management	2003-04-01	2004-06-02
	Rep	Dealing in futures contracts	2003-04-01	2005-12-01

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.