Min Soo Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Min Soo Kim ( ), a licensed former licensee with CE reference AEP532. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shang International Finance Limited 尚融國際金融有限公司 |
RO | Type 1 — Dealing in securities | 2018-01-12 | 2019-04-01 |
| Shang International Finance Limited 尚融國際金融有限公司 |
RO | Type 4 — Advising on securities | 2018-01-12 | 2019-04-01 |
| Oracle Capital Limited 安理高有限公司 |
RO | Type 4 — Advising on securities | 2016-06-03 | 2017-12-21 |
| Oracle Capital Limited 安理高有限公司 |
RO | Type 9 — Asset management | 2016-06-03 | 2017-12-21 |
| SPARX Asia Investment Advisors Limited | RO | Type 4 — Advising on securities | 2009-06-05 | 2015-03-19 |
| SPARX Asia Investment Advisors Limited | RO | Type 9 — Asset management | 2009-06-05 | 2015-03-19 |
| SPARX Asia Investment Advisors Limited | Rep | Type 4 — Advising on securities | 2006-02-01 | 2009-06-05 |
| SPARX Asia Investment Advisors Limited | Rep | Type 9 — Asset management | 2006-02-01 | 2009-06-05 |