Personnel Hong Kong SFC License Details (ID 84881)

Personnel Hong Kong SFC License Details (ID 84881)

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	2024-03-08
	Rep	Dealing in securities	2007-06-07	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-06-07	2024-03-08
CHIEF COMMODITIES LIMITED	Rep	Dealing in futures contracts	2004-07-26	2007-06-01
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2003-12-18	2007-06-01
ROSA SECURITIES LIMITED	Rep	Advising on corporate finance	-	2003-07-30
	Rep	Advising on securities	-	2003-07-30
	Rep	Asset management	-	2003-07-30
	Rep	Providing automated trading services	-	2003-07-30
	Rep	Dealing in securities	-	2003-07-30