Personnel Hong Kong SFC License Details (ID 85004)

Personnel Hong Kong SFC License Details (ID 85004)

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
PRUDENTIAL BROKERAGE LIMITED	Rep	Dealing in securities	2015-04-02	2019-12-31
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2015-04-02	2019-08-05
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-11-18	2015-03-25
KGI ASIA LIMITED	Rep	Dealing in securities	2003-09-08	2015-03-25
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2003-07-19	2003-08-29
KGI ASIA LIMITED	Rep	Advising on corporate finance	-	2003-06-06
	Rep	Advising on securities	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Dealing in securities	-	2003-06-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Dealing in futures contracts	-	2003-06-06
KGI SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-06-06
	Rep	Advising on securities	-	2003-06-06
	Rep	Asset management	-	2003-06-06
	Rep	Providing automated trading services	-	2003-06-06
	Rep	Dealing in securities	-	2003-06-06