Personnel Hong Kong SFC License Details (ID 85137)

Personnel Hong Kong SFC License Details (ID 85137)

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	-
	Rep	Dealing in securities	2009-11-27	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-11-27	-
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2007-03-07	2009-11-19
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2006-07-05	2009-11-19
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-07-05	2009-11-19
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-02
	Rep	Advising on securities	2003-04-01	2004-03-02
	Rep	Dealing in securities	2003-04-01	2006-06-29
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-04-01	2006-06-29