Personnel Hong Kong SFC License Details (ID 95819)

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
First Shanghai Investment Management (HK) Limited	Rep	Asset management	2025-11-18	-
FIRST SHANGHAI FUTURES LIMITED	Rep	Dealing in futures contracts	2025-08-28	2026-06-30
FIRST SHANGHAI SECURITIES LIMITED	Rep	Advising on securities	2025-08-28	-
	Rep	Dealing in securities	2025-08-28	-
South China Investment Management Limited	RO	Asset management	2025-02-06	2025-03-12
SOUTH CHINA RESEARCH LIMITED	RO	Advising on securities	2025-02-06	2025-03-12
SOUTH CHINA SECURITIES LIMITED	RO	Dealing in securities	2025-02-06	2025-03-12
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2024-12-10	2025-03-12
South China Investment Management Limited	Rep	Asset management	2024-12-10	2025-02-06
SOUTH CHINA RESEARCH LIMITED	Rep	Advising on securities	2024-12-10	2025-02-06
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2024-12-10	2025-02-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-04-17	2024-09-04
KGI ASIA LIMITED	RO	Advising on securities	2022-12-14	2024-09-04
	RO	Dealing in securities	2022-12-14	2024-09-04
KGI Asset Management Limited	RO	Asset management	2022-12-14	2024-09-04
KGI ASIA LIMITED	Rep	Advising on securities	2022-09-22	2022-12-14
	Rep	Dealing in securities	2022-09-22	2022-12-14
KGI Asset Management Limited	Rep	Asset management	2022-09-22	2022-12-14
Quam Securities Limited	Rep	Advising on securities	2021-03-01	2022-08-31
	Rep	Asset management	2021-03-01	2022-08-31
	Rep	Dealing in securities	2021-03-01	2022-08-31
Core Pacific - Yamaichi Asset Management Limited	RO	Asset management	2018-01-16	2021-02-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2018-01-16	2021-02-01
	RO	Dealing in securities	2018-01-16	2021-02-01
Core Pacific - Yamaichi Asset Management Limited	Rep	Asset management	2017-09-22	2018-01-16
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2017-09-22	2018-01-16
	Rep	Dealing in securities	2017-09-22	2018-01-16
Bright Fund Management Limited	Rep	Asset management	2014-03-11	2017-09-04
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2012-12-24	2017-09-04
	Rep	Dealing in securities	2011-01-21	2017-09-04