Forrest, Richard William

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
TP ICAP MARKETS (HONG KONG) LIMITED	RO	Dealing in futures contracts	2024-06-25	-
	RO	Dealing in securities	2024-06-25	-
	Rep	Dealing in futures contracts	2024-04-02	2024-06-25
	Rep	Dealing in securities	2024-04-02	2024-06-25
Qantex Capital Markets Limited	RO	Dealing in securities	2021-11-16	2024-01-01
	RO	Dealing in futures contracts	2020-08-19	2024-01-01
	Rep	Dealing in futures contracts	2020-06-15	2020-08-19
	Rep	Dealing in securities	2020-06-15	2021-11-16
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2020-02-01
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2016-10-07	2020-02-01
KGI ASIA LIMITED	Rep	Dealing in securities	2015-03-10	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-03-10	2016-10-07
T.F.S. Derivatives HK Limited	Rep	Dealing in futures contracts	2012-01-03	2014-11-30
	Rep	Dealing in securities	2012-01-03	2014-11-30
MF Global Hong Kong Limited	Rep	Dealing in futures contracts	2009-03-26	2011-11-10
	Rep	Dealing in securities	2009-03-26	2011-11-10
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-10-13	2009-03-16
	Rep	Dealing in securities	2008-10-13	2009-03-16
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2008-03-17	2009-03-16
Newedge Broker Limited	Rep	Providing automated trading services	2006-05-24	2009-03-16
	Rep	Dealing in futures contracts	2006-05-22	2009-03-16
	Rep	Dealing in securities	2006-05-22	2009-03-16
KGI ASIA LIMITED	Rep	Dealing in securities	2006-01-03	2006-03-29
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-01-03	2006-03-29
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-01-03	2006-03-29

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
TP ICAP MARKETS (HONG KONG) LIMITED	RO	Dealing in futures contracts	2024-06-25	-
	RO	Dealing in securities	2024-06-25	-
	Rep	Dealing in futures contracts	2024-04-02	2024-06-25
	Rep	Dealing in securities	2024-04-02	2024-06-25
Qantex Capital Markets Limited	RO	Dealing in securities	2021-11-16	2024-01-01
	RO	Dealing in futures contracts	2020-08-19	2024-01-01
	Rep	Dealing in futures contracts	2020-06-15	2020-08-19
	Rep	Dealing in securities	2020-06-15	2021-11-16
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2020-02-01
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2016-10-07	2020-02-01
KGI ASIA LIMITED	Rep	Dealing in securities	2015-03-10	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-03-10	2016-10-07
T.F.S. Derivatives HK Limited	Rep	Dealing in futures contracts	2012-01-03	2014-11-30
	Rep	Dealing in securities	2012-01-03	2014-11-30
MF Global Hong Kong Limited	Rep	Dealing in futures contracts	2009-03-26	2011-11-10
	Rep	Dealing in securities	2009-03-26	2011-11-10
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-10-13	2009-03-16
	Rep	Dealing in securities	2008-10-13	2009-03-16
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2008-03-17	2009-03-16
Newedge Broker Limited	Rep	Providing automated trading services	2006-05-24	2009-03-16
	Rep	Dealing in futures contracts	2006-05-22	2009-03-16
	Rep	Dealing in securities	2006-05-22	2009-03-16
KGI ASIA LIMITED	Rep	Dealing in securities	2006-01-03	2006-03-29
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-01-03	2006-03-29
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-01-03	2006-03-29