Sendy So Fun Siu
蕭素芬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sendy So Fun Siu (蕭素芬), a licensed Responsible Officer with CE reference ADB652. Currently licensed at 2 firm(s): KGI Asia Limited, KGI Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2017-10-03 | present |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-12-18 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-12-18 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-22 | 2014-12-18 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-09-22 | 2014-12-18 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-05-30 | 2014-09-08 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-05-30 | 2014-09-08 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-25 | 2012-05-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-02-25 | 2012-05-30 |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-05 | 2011-02-07 |
| Enlighten Futures Limited 名匯期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-12-05 | 2011-02-07 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-12-01 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-12-01 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-02 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-02 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |