SFC Licences of SU Yazhong 蘇亞中
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 | RO | 6 | 14 May 2010 | 31 December 2011 |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 | RO | 1 | 14 May 2010 | 31 December 2011 |
| First Securities (HK) Limited 第一證券(香港)有限公司 | RE | 1 | 21 December 2009 | |
| KGI Capital (Hong Kong) Limited 凱基金融(香港)有限公司 | RO | 1 | 20 June 2008 | 01 January 2009 |
| KGI Capital (Hong Kong) Limited 凱基金融(香港)有限公司 | RO | 6 | 13 December 2006 | 01 January 2009 |
| KGI Wealth Management Limited 凱基財富管理有限公司 | RE | 6 | 18 April 2006 | 19 December 2009 |
| KGI Wealth Management Limited 凱基財富管理有限公司 | RE | 1 | 18 April 2006 | 19 December 2009 |
| KGI Capital (Hong Kong) Limited 凱基金融(香港)有限公司 | RE | 6 | 18 April 2006 | 13 December 2006 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 | RO | 1 | 30 August 2004 | 09 April 2006 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 | RE | 6 | 01 April 2003 | 09 April 2006 |