Personnel Hong Kong SFC License Details (ID 97333)

Personnel Hong Kong SFC License Details (ID 97333)

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	2012-02-27	2015-02-03
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-02-27	2015-02-03
XinKong International Securities Limited	Rep	Dealing in futures contracts	2009-12-01	2012-02-08
	Rep	Dealing in securities	2009-12-01	2012-02-08
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-05-15	2009-11-17
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-05-15	2009-11-17
KGI ASIA LIMITED	Rep	Advising on corporate finance	-	2003-09-20
	Rep	Advising on securities	-	2003-09-20
	Rep	Asset management	-	2003-09-20
	Rep	Dealing in securities	-	2003-09-20
KGI FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-09-20
	Rep	Asset management	-	2003-09-20
	Rep	Dealing in futures contracts	-	2003-09-20