Personnel Hong Kong SFC License Details (ID 85108)

Personnel Hong Kong SFC License Details (ID 85108)

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
TOPAZ CAPITAL MANAGEMENT LIMITED	Rep	Asset management	2021-06-24	-
Topaz Financial Group Limited	Rep	Dealing in securities	2021-06-24	-
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-06-26	2018-08-31
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2015-06-26	2018-08-31
Quam Securities Limited	Rep	Advising on securities	2013-01-03	2015-06-01
	Rep	Asset management	2013-01-03	2015-06-01
	Rep	Dealing in futures contracts	2013-01-03	2015-06-01
	Rep	Dealing in securities	2013-01-03	2015-06-01
KGI ASIA LIMITED	Rep	Advising on securities	2008-03-25	2012-12-07
	Rep	Dealing in securities	2008-03-05	2012-12-07
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-03-05	2012-12-07
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2005-04-19	2008-02-23
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-07-14	2008-02-23
GAYANG SECURITIES LIMITED	Rep	Advising on securities	2003-04-01	2004-06-21