Personnel Hong Kong SFC License Details (ID 85202)

Personnel Hong Kong SFC License Details (ID 85202)

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	RO	Advising on securities	2017-10-03	2020-02-24
	RO	Dealing in securities	2017-10-03	2020-02-24
	RO	Advising on securities	2016-07-06	2017-10-02
	RO	Dealing in securities	2016-07-06	2017-10-02
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2016-07-06	2017-10-02
	RO	Dealing in securities	2016-07-06	2017-10-02
KGI ASIA LIMITED	Rep	Advising on securities	2013-09-19	2016-07-06
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2013-09-19	2016-07-06
KGI ASIA LIMITED	Rep	Dealing in securities	2011-08-03	2016-07-06
KGI WEALTH MANAGEMENT LIMITED	Rep	Dealing in securities	2011-08-03	2016-07-06
Yuanta Asia Investment (Hong Kong) Limited	RO	Dealing in securities	2011-03-23	2011-07-01
	Rep	Dealing in securities	2010-09-03	2011-03-23
JS CRESVALE CAPITAL LIMITED	Rep	Dealing in securities	2009-08-31	2010-08-21
JS CRESVALE SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2006-07-20	2010-08-21