Personnel Hong Kong SFC License Details (ID 96425)

Personnel Hong Kong SFC License Details (ID 96425)

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	Dealing in securities	2017-10-03	-
	Rep	Dealing in securities	2017-04-03	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-04-03	-
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2017-02-13	2017-03-27
	Rep	Dealing in securities	2017-02-13	2017-03-27
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2003-05-29	2017-02-12
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2003-05-29	2017-02-12
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-28
	Rep	Advising on securities	2003-04-01	2003-05-28
	Rep	Asset management	2003-04-01	2003-05-28
	Rep	Dealing in securities	2003-04-01	2003-05-29