Personnel Hong Kong SFC License Details (ID 83804)

Personnel Hong Kong SFC License Details (ID 83804)

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
Alpha Financial Group Limited	Rep	Dealing in securities	2017-12-19	2026-07-15
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2017-10-28
	Rep	Dealing in securities	2017-10-03	2017-10-28
	Rep	Advising on securities	2014-09-26	2017-10-02
	Rep	Dealing in securities	2014-09-26	2017-10-02
KGI Asset Management Limited	Rep	Advising on securities	2013-07-29	2014-09-18
	Rep	Dealing in securities	2013-07-29	2014-09-18
FWD Financial Planning Limited (HK)	Rep	Dealing in securities	2011-03-18	2012-05-15
	Rep	Advising on securities	2006-11-22	2012-05-15
T G HOLBORN (HK) LIMITED	Rep	Advising on securities	2003-07-29	2006-10-31