Personnel Hong Kong SFC License Details (ID 85210)

Personnel Hong Kong SFC License Details (ID 85210)

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
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2021-12-15	2024-02-16
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2021-12-15	2024-02-16
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2021-11-26
	Rep	Dealing in securities	2009-01-07	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-01-07	2021-11-26
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-03-20	2008-12-25
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2008-03-20	2008-12-25
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2008-03-20	2008-12-25
Newedge Broker Limited	Rep	Providing automated trading services	2006-07-24	2008-03-05
	Rep	Dealing in futures contracts	2006-07-24	2008-03-05
	Rep	Dealing in securities	2006-07-24	2008-03-05
CHIEF COMMODITIES LIMITED	Rep	Dealing in futures contracts	2004-03-15	2006-07-16
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2004-03-15	2006-07-16
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2004-02-04	2004-03-12
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2004-01-27	2004-03-12
TISCO SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	-	2003-12-23
	Rep	Advising on securities	-	2003-12-23
	Rep	Asset management	-	2003-12-23
	Rep	Dealing in securities	-	2003-12-23