Personnel Hong Kong SFC License Details (ID 84688)

Personnel Hong Kong SFC License Details (ID 84688)

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
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	-
	Rep	Dealing in securities	2014-02-10	2017-10-02
KAM FAI SECURITIES CO., LIMITED	Rep	Dealing in securities	2009-06-01	2014-01-29
SHUN HENG SECURITIES LIMITED	Rep	Dealing in securities	2008-05-02	2009-05-25
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-10-05	2008-03-04
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2007-08-01	2007-09-14
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-05
	Rep	Advising on securities	2003-04-01	2004-02-05
	Rep	Asset management	2003-04-01	2004-02-05
	Rep	Dealing in securities	2003-04-01	2007-07-28