Personnel Hong Kong SFC License Details (ID 84870)

Personnel Hong Kong SFC License Details (ID 84870)

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	2011-09-08	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-09-08	-
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2010-04-12	2011-05-13
	Rep	Dealing in securities	2010-04-12	2011-05-13
YU ON SECURITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2008-07-02	2010-03-20
	Rep	Dealing in securities	2008-07-02	2010-03-20
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2006-11-29	2008-06-30
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2006-07-04	2008-06-30