Personnel Hong Kong SFC License Details (ID 85062)

Personnel Hong Kong SFC License Details (ID 85062)

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	-
KGI WEALTH MANAGEMENT LIMITED	Rep	Dealing in securities	2017-04-13	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-12-28	-
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-12-28	2017-10-02
KGI ASIA LIMITED	Rep	Dealing in securities	2004-12-21	2017-10-02
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2004-10-07	2004-12-09
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2004-05-11	2004-07-29
SEEKERS MARKETS LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-04-24
	Rep	Advising on securities	2003-04-01	2004-04-24
	Rep	Asset management	2003-04-01	2004-04-24
	Rep	Dealing in securities	2003-04-01	2004-04-24