Personnel Hong Kong SFC License Details (ID 97287)

Personnel Hong Kong SFC License Details (ID 97287)

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
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2020-10-08	2022-05-19
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2020-09-25
	Rep	Dealing in securities	2014-06-13	2017-10-02
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2012-06-28	2014-06-07
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2012-06-28	2014-06-07
XinKong International Securities Limited	Rep	Dealing in securities	2009-12-28	2012-06-22
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-01-05	2009-12-10
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-01-05	2009-12-10
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2006-03-02	2008-12-31