Personnel Hong Kong SFC License Details (ID 94810)

Personnel Hong Kong SFC License Details (ID 94810)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2022-08-09	-
	Rep	Advising on securities	2018-10-11	-
	Rep	Dealing in securities	2018-09-20	-
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2018-08-27
	Rep	Dealing in securities	2013-12-16	2017-10-02
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2011-04-12	2013-09-04
	Rep	Dealing in securities	2011-04-12	2013-09-04
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2010-03-02	2011-03-25
	RO	Dealing in securities	2009-09-03	2010-03-02
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2008-07-11	2011-03-25
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2007-08-01	2009-09-03
	Rep	Advising on securities	2007-08-01	2011-03-25
KGI WEALTH MANAGEMENT LIMITED	Rep	Asset management	2004-09-16	2004-12-28
	Rep	Advising on corporate finance	2004-09-16	2007-03-01
	Rep	Advising on securities	2004-09-16	2007-03-01
	Rep	Dealing in securities	2004-09-16	2007-03-01