Personnel SFC Licences and HKMA Registrations (ID 85230)

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
UX SECURITIES LIMITED	Rep	Asset management	2025-10-24	-
	RO	Advising on securities	2023-12-06	-
	RO	Dealing in securities	2021-01-11	-
	Rep	Dealing in securities	2018-08-29	2021-01-11
FORMAX SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-06-15	2018-08-17
	Rep	Dealing in securities	2017-06-15	2018-08-17
KGI ASIA LIMITED	Rep	Dealing in securities	2011-03-07	2017-05-19
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-03-07	2017-05-19
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2010-01-18	2011-03-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2010-01-18	2011-03-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2010-01-18	2011-03-01
KGI ASIA LIMITED	Rep	Advising on securities	2009-06-01	2010-01-01
	Rep	Dealing in securities	2009-05-07	2010-01-01
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-05-07	2010-01-01
	Rep	Dealing in futures contracts	2008-12-18	2009-03-21
KGI ASIA LIMITED	Rep	Dealing in securities	2008-09-08	2009-03-21

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.