Personnel SFC Licences and HKMA Registrations (ID 85061)

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	-
KGI WEALTH MANAGEMENT LIMITED	Rep	Dealing in securities	2009-12-23	2017-10-02
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-06-27	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-07-05	-
KGI ASIA LIMITED	Rep	Dealing in securities	2006-06-09	2017-10-02
TSE'S SECURITIES LIMITED	Rep	Dealing in securities	2005-11-11	2006-06-01

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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