Personnel Hong Kong SFC License Details (ID 85139)

Personnel Hong Kong SFC License Details (ID 85139)

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
Crosby Securities Limited	Rep	Advising on securities	2019-03-18	2020-10-01
	Rep	Dealing in securities	2019-03-18	2020-10-01
	Rep	Advising on securities	2015-09-14	2017-05-31
	Rep	Dealing in securities	2015-09-14	2017-05-31
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2015-04-09	2015-08-19
	Rep	Dealing in securities	2014-08-15	2015-08-19
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-06-24	2014-08-09
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2014-06-24	2014-08-09
KGI ASIA LIMITED	RO	Dealing in securities	2012-10-11	2013-10-01
	Rep	Dealing in securities	2010-07-15	2012-10-11
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-07-15	2012-05-01
MIZUHO SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-08-23	2010-06-05
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-08-17	2007-08-20
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2007-06-27	2007-08-20
KuCoin Commodity Futures Limited	Rep	Dealing in futures contracts	2004-09-18	2005-12-15
KuCoin HK Limited	Rep	Dealing in securities	2004-09-18	2005-12-15