Siu, Sendy So Fun 蕭素芬
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | AISANCE ASSET MANAGEMENT LIMITED | Rep | Advising on futures contracts | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in futures contracts | 2004-06-02 |
| 2 | ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-12-05 | 2011-02-07 |
| 3 | ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2005-12-05 | 2011-02-07 |
| 4 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-02-25 | 2012-05-30 | Rep | Dealing in securities | 2011-02-25 | 2012-05-30 | RO | Dealing in futures contracts | 2012-05-30 | 2014-09-08 | RO | Dealing in securities | 2012-05-30 | 2014-09-08 |
| 5 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2005-12-01 | Rep | Dealing in securities | 2014-09-22 | 2014-12-18 | RO | Dealing in securities | 2014-12-18 | 2017-10-02 | RO | Dealing in securities | 2017-10-03 |
| 6 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in futures contracts | 2005-12-01 | Rep | Dealing in futures contracts | 2014-09-22 | 2014-12-18 | RO | Dealing in futures contracts | 2014-12-18 |
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