Siu, Sendy So Fun 蕭素芬

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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
2 AISANCE ASSET MANAGEMENT LIMITED Rep Asset management 2004-06-02
3 AISANCE ASSET MANAGEMENT LIMITED Rep Dealing in futures contracts 2004-06-02
4 KGI ASIA LIMITED Rep Advising on corporate finance 2004-06-02
5 KGI ASIA LIMITED Rep Advising on securities 2004-06-02
6 KGI ASIA LIMITED Rep Asset management 2004-06-02
7 KGI FUTURES (HONG KONG) LIMITED Rep Advising on futures contracts 2004-06-02
8 KGI FUTURES (HONG KONG) LIMITED Rep Asset management 2004-06-02
9 KGI ASIA LIMITED Rep Dealing in securities 2005-12-01
10 KGI FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2005-12-01
11 ENLIGHTEN FUTURES LIMITED Rep Dealing in futures contracts 2005-12-05 2011-02-07
12 ENLIGHTEN SECURITIES LIMITED Rep Dealing in securities 2005-12-05 2011-02-07
13 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Rep Dealing in futures contracts 2011-02-25 2012-05-30
14 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Rep Dealing in securities 2011-02-25 2012-05-30
15 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED RO Dealing in futures contracts 2012-05-30 2014-09-08
16 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED RO Dealing in securities 2012-05-30 2014-09-08
17 KGI ASIA LIMITED Rep Dealing in securities 2014-09-22 2014-12-18
18 KGI FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2014-09-22 2014-12-18
19 KGI FUTURES (HONG KONG) LIMITED RO Dealing in futures contracts 2014-12-18
20 KGI ASIA LIMITED RO Dealing in securities 2014-12-18 2017-10-02
21 KGI ASIA LIMITED RO Dealing in securities 2017-10-03

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