Personnel Hong Kong SFC License Details (ID 84807)

Personnel Hong Kong SFC License Details (ID 84807)

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	RO	Advising on securities	2017-10-03	2018-03-20
	RO	Dealing in securities	2017-10-03	2018-03-20
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2014-06-12	2017-05-25
KGI WEALTH MANAGEMENT LIMITED	RO	Dealing in securities	2010-04-23	2017-10-02
AISANCE ASSET MANAGEMENT LIMITED	Rep	Asset management	2009-08-14	2014-04-28
KGI ASIA LIMITED	RO	Advising on securities	2009-08-14	2017-10-02
	RO	Dealing in securities	2009-08-14	2017-10-02
	Rep	Advising on securities	2009-07-29	2009-08-14
	Rep	Dealing in securities	2009-07-29	2009-08-14
PIMCO Asia Limited	Rep	Advising on securities	2006-05-18	2009-03-31
	Rep	Dealing in securities	2006-05-18	2009-03-31
PIMCO ASIA PTE LTD	Rep	Advising on securities	2006-03-13	2006-05-17
	Rep	Dealing in securities	2006-03-13	2006-05-17
Pictet Asset Management (Hong Kong) Limited	RO	Advising on securities	-	2005-08-02