Personnel Hong Kong SFC License Details (ID 90141)

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
Saxo Capital Markets HK Limited	RO	Dealing in futures contracts	2020-03-23	2020-05-11
	RO	Dealing in securities	2020-03-23	2020-05-11
	Rep	Leveraged foreign exchange trading	2020-03-18	2020-05-11
	Rep	Dealing in futures contracts	2020-02-24	2020-03-23
	Rep	Dealing in securities	2020-02-24	2020-03-23
XHK Limited	RO	Dealing in futures contracts	2019-01-29	2019-08-30
	RO	Dealing in securities	2019-01-29	2019-08-30
Forwin Futures Group Limited	RO	Dealing in futures contracts	2016-06-22	2016-09-30
Forwin Securities Group Limited	RO	Dealing in securities	2015-09-21	2016-09-30
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2010-09-29	2015-02-27
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2010-09-29	2015-02-27
	Rep	Dealing in securities	2010-09-29	2015-02-27
De Riva Asia Limited	RO	Dealing in futures contracts	2010-07-29	2010-09-20
	RO	Dealing in securities	2010-07-29	2010-09-20
KGI ASIA LIMITED	Rep	Dealing in securities	2006-07-04	2010-07-15
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-07-04	2010-07-15
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-07-04	2010-07-15
Newedge Broker Limited	Rep	Providing automated trading services	2004-05-27	2006-03-10
	Rep	Dealing in futures contracts	2004-04-16	2006-03-10
	Rep	Dealing in securities	2004-04-16	2006-03-10
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2004-01-31	2004-04-06
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2004-01-31	2004-04-06
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on corporate finance	-	2003-05-20
	Rep	Advising on securities	-	2003-05-20
	Rep	Asset management	-	2003-05-20
	Rep	Dealing in securities	-	2003-05-20