Personnel Hong Kong SFC License Details (ID 85140)

Personnel Hong Kong SFC License Details (ID 85140)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2016-12-09	2018-12-14
	Rep	Dealing in securities	2016-12-09	2018-12-14
CATHAY SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2015-12-11	2016-11-30
	RO	Dealing in securities	2015-12-11	2016-11-30
	Rep	Advising on securities	2015-11-10	2015-12-11
	Rep	Dealing in securities	2015-11-10	2015-12-11
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2012-11-23	2015-11-01
	Rep	Dealing in securities	2012-11-23	2015-11-01
AISANCE ASSET MANAGEMENT LIMITED	Rep	Asset management	2011-10-27	2013-02-21
KGI ASIA LIMITED	Rep	Advising on securities	2010-07-28	2015-11-01
	Rep	Dealing in securities	2007-07-18	2015-11-01
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-07-18	2015-11-01