Personnel Hong Kong SFC License Details (ID 84903)

Personnel Hong Kong SFC License Details (ID 84903)

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
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2023-08-15	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2022-05-05	2022-09-29
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2022-05-05	2022-09-29
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2020-11-27	2022-04-15
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2020-11-27	2022-04-15
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2012-02-23	2020-03-27
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-02-23	2020-03-27
KGI ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-04
	Rep	Advising on securities	2003-04-01	2004-06-04
	Rep	Asset management	2003-04-01	2004-06-04
	Rep	Dealing in securities	2003-04-01	2012-02-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-04
	Rep	Asset management	2003-04-01	2004-06-04
	Rep	Dealing in futures contracts	2003-04-01	2012-02-06