Personnel Hong Kong SFC License Details (ID 85087)

Personnel Hong Kong SFC License Details (ID 85087)

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	Advising on securities	2017-10-03	2022-02-28
	Rep	Dealing in securities	2017-10-03	2022-02-28
	Rep	Advising on securities	2009-03-24	2017-10-02
	Rep	Dealing in securities	2009-03-05	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-03-05	2022-02-28
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2007-08-21	2009-02-19
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2004-05-15	2009-02-19
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	-	2003-11-11
	Rep	Asset management	-	2003-11-11
	Rep	Dealing in futures contracts	-	2003-11-11