Personnel Hong Kong SFC License Details (ID 84815)

Personnel Hong Kong SFC License Details (ID 84815)

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	2011-04-07	2015-03-01
	RO	Dealing in securities	2011-04-07	2015-03-01
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2011-04-07	2015-03-01
KGI ASIA LIMITED	Rep	Advising on securities	2011-01-19	2011-04-07
	Rep	Dealing in securities	2011-01-19	2011-04-07
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-01-19	2011-04-07
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2010-06-10	2010-11-03
	Rep	Dealing in securities	2010-06-10	2010-11-03
	Rep	Advising on securities	2010-02-09	2010-04-01
	Rep	Dealing in securities	2010-02-09	2010-04-01
	RO	Advising on securities	2009-02-12	2010-02-09
	RO	Dealing in securities	2009-02-12	2010-02-09
	Rep	Advising on securities	2008-07-24	2009-02-12
	Rep	Dealing in securities	2008-07-24	2009-02-12