Personnel Hong Kong SFC License Details (ID 92517)

Personnel Hong Kong SFC License Details (ID 92517)

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	Rep	Advising on securities	2017-10-03	2020-12-18
	Rep	Dealing in securities	2017-10-03	2020-12-18
	Rep	Advising on securities	2015-11-13	2017-10-02
	Rep	Dealing in securities	2015-11-13	2017-10-02
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-05-11	2015-10-30
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2015-05-11	2015-10-30
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2012-06-21	2015-04-21
	Rep	Dealing in securities	2012-06-21	2015-04-21
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2011-10-24	2015-04-21
	Rep	Dealing in securities	2011-09-06	2015-04-21