Hong Kong SFC licence institution ADT039, KGI Capital Asia Limited 凱基金融亞洲有限公司

These are the licence-holders that were found for SFC licence institution ADT039 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAC668 CHAN Ming Fai 陳明輝 RO Dealing in Securities 2003-04-01 2003-06-30
AAC668 CHAN Ming Fai 陳明輝 RO Advising on Securities 2003-04-01 2003-06-30
AAC668 CHAN Ming Fai 陳明輝 RO Advising on Corporate Finance 2003-04-01 2003-06-30
AAC668 CHAN Ming Fai 陳明輝 RO Asset Management 2003-04-01 2003-06-30
ABF037 CHAN Chun Kit 陳俊傑 RE Advising on Corporate Finance 2006-08-24 2006-11-13
ABF037 CHAN Chun Kit 陳俊傑 RO Advising on Corporate Finance 2006-11-13 2015-10-22
ABN127 KWONG Man Bun 鄺民彬 RO Dealing in Securities 2013-03-04
ABN127 KWONG Man Bun 鄺民彬 RO Advising on Securities 2011-08-03
ABN376 LEE Siu Lun 李兆麟 RO Dealing in Securities 2013-07-26
ABN376 LEE Siu Lun 李兆麟 RO Advising on Securities 2013-04-18
ABR276 WONG Hoe Choon Reddy 黃浩泉 RO Dealing in Securities 2018-03-15
ABR276 WONG Hoe Choon Reddy 黃浩泉 RO Advising on Securities 2018-03-15
ABR276 WONG Hoe Choon Reddy 黃浩泉 RO Advising on Corporate Finance 2018-03-15
ACC332 FANG Wei Chang 方維昌 RO Dealing in Securities 2003-06-30 2012-08-14
ACC332 FANG Wei Chang 方維昌 RO Advising on Securities 2003-06-30 2012-08-14
ACC332 FANG Wei Chang 方維昌 RO Advising on Corporate Finance 2003-06-30 2012-08-14
ACC332 FANG Wei Chang 方維昌 RO Asset Management 2003-06-30 2003-10-28
ACN129 WONG Chak Wai 黃集蔚 RO Dealing in Securities 2014-07-29 2018-05-05
ACN129 WONG Chak Wai 黃集蔚 RO Advising on Securities 2014-07-29 2018-05-05
ACN129 WONG Chak Wai 黃集蔚 RO Advising on Corporate Finance 2018-03-29 2018-05-05
ACN453 FENG Lei Ming 馮雷明 RO Dealing in Securities 2010-03-22 2011-03-08
ACN453 FENG Lei Ming 馮雷明 RO Advising on Securities 2010-03-22 2011-03-08
ACN453 FENG Lei Ming 馮雷明 RO Advising on Corporate Finance 2010-03-22 2011-03-08
ACQ850 CHAN Kwan Kit 陳鈞傑 RE Dealing in Securities 2008-06-03 2011-09-05
ACQ850 CHAN Kwan Kit 陳鈞傑 RE Advising on Corporate Finance 2008-06-03 2011-09-05
ADP967 TSANG Man Yee, Annie 曾敏兒 RE Dealing in Securities 2003-04-01 2011-06-27
ADP967 TSANG Man Yee, Annie 曾敏兒 RE Advising on Securities 2003-04-01 2011-06-27
ADP967 TSANG Man Yee, Annie 曾敏兒 RE Advising on Corporate Finance 2003-04-01 2011-06-27
ADP967 TSANG Man Yee, Annie 曾敏兒 RE Asset Management 2003-04-01 2003-11-05
AEH242 KWAN Ringo Cheukkai 關卓啟 RE Dealing in Securities 2014-08-25 2014-12-09
AEH242 KWAN Ringo Cheukkai 關卓啟 RO Dealing in Securities 2014-12-09 2018-07-19
AEH242 KWAN Ringo Cheukkai 關卓啟 RE Advising on Corporate Finance 2014-08-25 2014-11-14
AEH242 KWAN Ringo Cheukkai 關卓啟 RO Advising on Corporate Finance 2014-11-14 2018-07-19
AEM344 CHOY Kwong Man, Edmond 蔡廣孟 RE Advising on Securities 2006-07-19 2007-04-16
AEM344 CHOY Kwong Man, Edmond 蔡廣孟 RE Advising on Corporate Finance 2006-06-29 2007-04-16
AEO587 LEUNG Kin Cheong, Laurent 梁健昌 RO Dealing in Securities 2003-04-01 2011-07-29
AEO587 LEUNG Kin Cheong, Laurent 梁健昌 RO Advising on Securities 2003-08-15 2011-07-29
AEO587 LEUNG Kin Cheong, Laurent 梁健昌 RO Advising on Corporate Finance 2003-04-01 2011-07-29
AEO587 LEUNG Kin Cheong, Laurent 梁健昌 RO Asset Management 2003-08-15 2003-10-28
AEP391 WAN Ka Hung 溫家雄 RE Dealing in Securities 2003-04-01 2003-08-01
AEP391 WAN Ka Hung 溫家雄 RE Advising on Securities 2003-04-01 2003-08-01
AEP391 WAN Ka Hung 溫家雄 RE Advising on Corporate Finance 2003-04-01 2003-08-01
AEP391 WAN Ka Hung 溫家雄 RE Asset Management 2003-04-01 2003-08-01
AER192 HUANG Huei-Chu 黃慧珠 RE Dealing in Securities 2006-01-23 2006-04-28
AER192 HUANG Huei-Chu 黃慧珠 RE Advising on Securities 2006-01-23 2006-04-28
AER192 HUANG Huei-Chu 黃慧珠 RE Advising on Corporate Finance 2006-01-23 2006-04-28
AEX105 CHAN Yu Wai 陳宇威 RE Dealing in Securities 2008-07-30 2008-10-15
AEX105 CHAN Yu Wai 陳宇威 RO Dealing in Securities 2008-10-15 2018-02-28
AEX105 CHAN Yu Wai 陳宇威 RE Advising on Corporate Finance 2008-07-30 2008-10-15
AEX105 CHAN Yu Wai 陳宇威 RO Advising on Corporate Finance 2008-10-15 2018-02-28
AEZ347 WONG Kam Wah 黃錦華 RE Dealing in Securities 2008-01-24 2008-05-18
AEZ347 WONG Kam Wah 黃錦華 RE Advising on Securities 2008-01-24 2008-05-18
AEZ347 WONG Kam Wah 黃錦華 RE Advising on Corporate Finance 2007-04-20 2007-06-21
AEZ347 WONG Kam Wah 黃錦華 RO Advising on Corporate Finance 2007-06-21 2008-05-18
AFB192 GUO Yi Xi 郭洢希 RE Dealing in Securities 2003-04-01 2006-06-24
AFB192 GUO Yi Xi 郭洢希 RE Advising on Securities 2003-04-01 2006-06-24
AFB192 GUO Yi Xi 郭洢希 RE Advising on Corporate Finance 2003-04-01 2006-06-24
AFB192 GUO Yi Xi 郭洢希 RE Asset Management 2003-04-01 2003-11-05
AFE147 DING Shaw-Tzeng 丁紹曾 RO Advising on Corporate Finance 2005-08-09 2008-12-20
AFE208 CHAN Kim Ling 陳劍陵 RO Advising on Securities 2004-01-08 2005-06-08
AFE208 CHAN Kim Ling 陳劍陵 RE Advising on Corporate Finance 2003-11-25 2004-01-08
AFE208 CHAN Kim Ling 陳劍陵 RO Advising on Corporate Finance 2004-01-08 2005-06-08
AFL211 CHEUNG Kin, Wilson 張健 RE Advising on Corporate Finance 2006-10-05 2006-12-01
AFL211 CHEUNG Kin, Wilson 張健 RO Advising on Corporate Finance 2006-12-01 2015-01-01
AFU680 LEE Hon Nam 李翰南 RE Dealing in Securities 2013-09-09 2014-05-17
AFU680 LEE Hon Nam 李翰南 RE Advising on Securities 2013-09-09 2014-05-17
AFU680 LEE Hon Nam 李翰南 RE Advising on Corporate Finance 2013-09-09 2014-02-18
AFU680 LEE Hon Nam 李翰南 RO Advising on Corporate Finance 2014-02-18 2014-05-17
AFU929 LAM Frank Pun Yuen 林本源 RO Dealing in Securities 2011-10-24 2013-02-03
AFU929 LAM Frank Pun Yuen 林本源 RO Advising on Securities 2011-10-24 2013-02-03
AFU929 LAM Frank Pun Yuen 林本源 RO Advising on Corporate Finance 2011-10-24 2013-02-03
AGA449 YAU Kar Man, Karen 尤嘉敏 RE Dealing in Securities 2015-10-20 2016-03-01
AGA449 YAU Kar Man, Karen 尤嘉敏 RO Dealing in Securities 2016-03-01 2018-09-26
AGA449 YAU Kar Man, Karen 尤嘉敏 RE Advising on Corporate Finance 2015-10-20 2018-09-26
AGM559 NIU Wang-Gu 牛王谷 RE Dealing in Securities 2003-04-01 2007-09-07
AGM559 NIU Wang-Gu 牛王谷 RE Advising on Securities 2003-04-01 2007-09-07
AGM559 NIU Wang-Gu 牛王谷 RE Advising on Corporate Finance 2003-04-01 2004-05-07
AGM559 NIU Wang-Gu 牛王谷 RE Asset Management 2003-04-01 2003-11-05
AGP525 WANG Li-wen 汪立文 RE Dealing in Securities 2003-07-14 2008-12-16
AGP525 WANG Li-wen 汪立文 RE Advising on Securities 2003-07-14 2008-12-16
AGP525 WANG Li-wen 汪立文 RE Advising on Corporate Finance 2003-07-14 2008-12-16
AGP525 WANG Li-wen 汪立文 RE Asset Management 2003-07-14 2003-11-05
AHG506 WONG Kam Wah 黃錦華 RE Advising on Corporate Finance 2003-12-11 2005-06-08
AHN528 TSANG Hing Yu 曾慶瑜 RE Dealing in Securities 2015-09-22 2018-09-26
AHN528 TSANG Hing Yu 曾慶瑜 RE Advising on Corporate Finance 2015-09-22 2018-09-26
AHR797 FAN Ching Yee 范靜怡 RE Dealing in Securities 2017-06-21 2018-11-09
AHR797 FAN Ching Yee 范靜怡 RE Advising on Corporate Finance 2017-06-21 2017-06-30
AHR797 FAN Ching Yee 范靜怡 RO Advising on Corporate Finance 2017-06-30
AJB477 WONG Chi Chiu 王志超 RE Advising on Corporate Finance 2007-03-21 2007-04-21
AJL345 LU Ting Pong, Johnny 呂定邦 RE Dealing in Securities 2008-01-21 2011-07-24
AJL345 LU Ting Pong, Johnny 呂定邦 RE Advising on Securities 2004-04-30 2011-07-24
AJL345 LU Ting Pong, Johnny 呂定邦 RE Advising on Corporate Finance 2004-04-30 2011-07-24
AKU292 NG Ho Man Fanny 吳皓敏 RE Dealing in Securities 2014-06-18 2014-10-15
AKU292 NG Ho Man Fanny 吳皓敏 RO Dealing in Securities 2014-10-15 2015-04-22
AKU292 NG Ho Man Fanny 吳皓敏 RE Advising on Corporate Finance 2014-06-18 2014-10-15
AKU292 NG Ho Man Fanny 吳皓敏 RO Advising on Corporate Finance 2014-10-15 2015-04-22
ALL685 CHIU Hin Fung, Sherman 趙衍鋒 RE Dealing in Securities 2010-01-22 2010-05-09
ALL685 CHIU Hin Fung, Sherman 趙衍鋒 RE Advising on Securities 2010-01-22 2010-05-09
ALL685 CHIU Hin Fung, Sherman 趙衍鋒 RE Advising on Corporate Finance 2010-01-22 2010-05-09
ALS352 PAN Kwang-Wu 潘廣武 RE Dealing in Securities 2005-02-16 2006-08-12
ALS352 PAN Kwang-Wu 潘廣武 RE Advising on Securities 2006-04-03 2006-08-12
ALS352 PAN Kwang-Wu 潘廣武 RE Advising on Corporate Finance 2005-02-16 2006-08-12
ANH163 LUI Kwan Ho 呂君皓 RE Dealing in Securities 2012-06-07 2015-04-16
ANH163 LUI Kwan Ho 呂君皓 RE Advising on Corporate Finance 2012-06-07 2015-04-16
APB407 WONG King Chung 黃勁聰 RE Dealing in Securities 2014-09-29 2015-03-10
APB407 WONG King Chung 黃勁聰 RO Dealing in Securities 2015-03-10 2017-06-27
APB407 WONG King Chung 黃勁聰 RE Advising on Corporate Finance 2014-09-29 2015-03-10
APB407 WONG King Chung 黃勁聰 RO Advising on Corporate Finance 2015-03-10 2017-06-27
APN587 WANG Yimin 王逸旻 RE Dealing in Securities 2008-01-21 2011-03-11
APN587 WANG Yimin 王逸旻 RE Advising on Securities 2008-01-21 2011-03-11
APN587 WANG Yimin 王逸旻 RE Advising on Corporate Finance 2007-08-31 2011-03-11
APZ793 HUI Wai Yan, Kelly 許慧欣 RE Advising on Corporate Finance 2011-05-25 2011-08-01
AQD959 KWOK Ka Hei 郭嘉熙 RE Advising on Corporate Finance 2007-12-18 2010-10-07
AQQ196 NG Chun Man, Michael 吳俊文 RE Advising on Corporate Finance 2011-05-23 2011-08-08
AQQ622 LIN Chia Sheng 林佳聲 RE Dealing in Securities 2013-12-03 2015-01-15
AQQ622 LIN Chia Sheng 林佳聲 RO Dealing in Securities 2015-01-15 2017-01-04
AQQ622 LIN Chia Sheng 林佳聲 RE Advising on Securities 2013-12-03 2014-12-16
AQQ622 LIN Chia Sheng 林佳聲 RE Advising on Corporate Finance 2008-03-18 2010-08-27
AQQ622 LIN Chia Sheng 林佳聲 RE Advising on Corporate Finance 2013-12-03 2015-01-15
AQQ622 LIN Chia Sheng 林佳聲 RO Advising on Corporate Finance 2015-01-15 2017-01-04
ATW421 LEE Cheuk Kwan, Vulcan 李焯鈞 RE Advising on Corporate Finance 2017-08-18 2018-10-02
AVK963 YANG Yang 楊陽 RE Dealing in Securities 2015-05-11 2017-12-28
AVK963 YANG Yang 楊陽 RO Dealing in Securities 2017-12-28 2018-07-31
AVK963 YANG Yang 楊陽 RE Advising on Securities 2015-05-11 2018-07-31
AVK963 YANG Yang 楊陽 RE Advising on Corporate Finance 2015-05-11 2017-12-28
AVK963 YANG Yang 楊陽 RO Advising on Corporate Finance 2017-12-28 2018-07-31
AVT322 MA Kwok Lung 馬國龍 RE Dealing in Securities 2015-12-01 2018-05-03
AVT322 MA Kwok Lung 馬國龍 RE Advising on Corporate Finance 2015-12-01 2018-05-03
AVT381 REN Ning 任凝 RE Dealing in Securities 2014-11-13 2015-02-14
AVT381 REN Ning 任凝 RE Advising on Corporate Finance 2014-11-13 2015-02-14
AWQ107 TANG Yik Hang 鄧奕鏗 RE Advising on Corporate Finance 2011-01-13 2011-09-26
AWS123 LAU Chun Chung 劉振中 RE Advising on Corporate Finance 2017-09-27 2018-04-23
AWS123 LAU Chun Chung 劉振中 RO Advising on Corporate Finance 2018-04-23
AXH629 LAU Kin Chung, Alex 劉健聰 RE Dealing in Securities 2016-01-18 2017-02-26
AXH629 LAU Kin Chung, Alex 劉健聰 RE Advising on Corporate Finance 2016-01-18 2017-02-26
AXP429 SHI Liwen 史力雯 RE Dealing in Securities 2011-07-11 2013-07-01
AXP429 SHI Liwen 史力雯 RE Advising on Corporate Finance 2011-11-21 2013-07-01
AZH414 FENG Shih Wen 馮世文 RE Dealing in Securities 2012-04-17 2012-08-04
AZH414 FENG Shih Wen 馮世文 RE Advising on Corporate Finance 2012-04-17 2012-08-04
AZL980 CHAN Yuk 陳煜 RE Dealing in Securities 2018-08-22
AZL980 CHAN Yuk 陳煜 RE Advising on Corporate Finance 2018-08-22
BBJ072 CHEN Yanling 陳艷玲 RE Dealing in Securities 2014-09-11 2015-06-14
BBJ072 CHEN Yanling 陳艷玲 RE Advising on Corporate Finance 2014-09-11 2015-06-14
BBJ699 XIE Fan 謝凡 RE Advising on Corporate Finance 2017-05-25 2018-08-05
BBK507 LEE Yun Cheng 李允正 RE Dealing in Securities 2013-06-13 2016-10-04
BBK507 LEE Yun Cheng 李允正 RO Dealing in Securities 2016-10-04 2017-04-20
BBK507 LEE Yun Cheng 李允正 RE Advising on Securities 2013-06-13 2017-04-20
BBK507 LEE Yun Cheng 李允正 RE Advising on Corporate Finance 2013-06-13 2016-10-04
BBK507 LEE Yun Cheng 李允正 RO Advising on Corporate Finance 2016-10-04 2017-04-20
BCE918 CHOU Hsiao Teng 周孝庭 RE Dealing in Securities 2013-10-30 2017-02-08
BCE918 CHOU Hsiao Teng 周孝庭 RO Dealing in Securities 2017-02-08 2017-04-19
BCE918 CHOU Hsiao Teng 周孝庭 RE Advising on Securities 2013-10-30 2017-04-19
BCE918 CHOU Hsiao Teng 周孝庭 RE Advising on Corporate Finance 2013-10-30 2017-02-08
BCE918 CHOU Hsiao Teng 周孝庭 RO Advising on Corporate Finance 2017-02-08 2017-04-19
BCS961 TSEUNG Cheuk Yee 蔣卓怡 RE Dealing in Securities 2014-01-14 2014-04-05
BCS961 TSEUNG Cheuk Yee 蔣卓怡 RE Advising on Securities 2014-01-14 2014-04-05
BCS961 TSEUNG Cheuk Yee 蔣卓怡 RE Advising on Corporate Finance 2014-01-14 2014-04-05
BEC600 CHONG Wan Kai 莊運啟 RE Advising on Corporate Finance 2018-10-11
BEN865 CHANG Cheng Yao 張承堯 RE Dealing in Securities 2015-08-21 2015-11-19
BEN865 CHANG Cheng Yao 張承堯 RE Advising on Corporate Finance 2015-08-21 2015-11-19
BEO884 WANG Daiwei 王黛瑋 RE Dealing in Securities 2014-12-03 2016-09-29
BEO884 WANG Daiwei 王黛瑋 RE Advising on Corporate Finance 2014-12-03 2016-09-29
BER309 WONG Lam Wai 黃林威 RE Dealing in Securities 2015-12-15 2015-12-17
BER309 WONG Lam Wai 黃林威 RE Advising on Corporate Finance 2015-12-15 2015-12-17
BEV969 YU Xue 于雪 RE Dealing in Securities 2015-05-14 2017-06-16
BEV969 YU Xue 于雪 RE Advising on Corporate Finance 2015-05-14 2017-06-16
BFR912 LIN Hoi Andy 林凱 RE Dealing in Securities 2015-06-19 2015-08-27
BFR912 LIN Hoi Andy 林凱 RE Advising on Corporate Finance 2015-06-19 2015-08-27
BFW885 NG Geoffrey Junxiong 吳駿雄 RE Dealing in Securities 2016-05-26 2018-05-20
BFW885 NG Geoffrey Junxiong 吳駿雄 RE Advising on Corporate Finance 2016-05-26 2018-05-20
BGD803 YE Peilin 叶佩琳 RE Dealing in Securities 2015-09-04 2016-04-09
BGD803 YE Peilin 叶佩琳 RE Advising on Corporate Finance 2015-09-04 2016-04-09
BGW577 YI Allan Wei Han 尹維瀚 RE Dealing in Securities 2016-01-19 2017-02-19
BGW577 YI Allan Wei Han 尹維瀚 RE Advising on Corporate Finance 2016-11-21 2017-02-19
BHA242 HUNG Vincent Chun-cheong 洪振鏘 RE Dealing in Securities 2016-02-17 2018-04-28
BHA242 HUNG Vincent Chun-cheong 洪振鏘 RE Advising on Corporate Finance 2016-02-17 2018-04-28
BHK873 CHEN Yi-Ju 陳怡如 RE Dealing in Securities 2016-05-06 2017-05-31
BHK873 CHEN Yi-Ju 陳怡如 RE Advising on Corporate Finance 2016-05-06 2017-05-31
BHQ122 CHOW King Yue Vision 鄒景裕 RE Dealing in Securities 2017-03-13 2018-09-16
BHQ122 CHOW King Yue Vision 鄒景裕 RE Advising on Corporate Finance 2017-03-13 2018-09-16
BHR969 WONG Kai Chung Roger 黃啟聰 RE Dealing in Securities 2016-06-24 2018-04-28
BHR969 WONG Kai Chung Roger 黃啟聰 RE Advising on Corporate Finance 2016-06-24 2018-04-28
BIA002 CHUNG Chi Hang 鍾智恆 RE Dealing in Securities 2017-06-14
BIA002 CHUNG Chi Hang 鍾智恆 RE Advising on Corporate Finance 2017-06-14
BII982 LEUNG Chiu Ni 梁俏妮 RE Dealing in Securities 2018-08-20
BII982 LEUNG Chiu Ni 梁俏妮 RE Advising on Corporate Finance 2018-08-20
BNR367 CHING Kam Hung 程錦鴻 RE Dealing in Securities 2018-10-12
BNR367 CHING Kam Hung 程錦鴻 RE Advising on Corporate Finance 2018-10-12

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