Sendy So Fun Siu
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. This person has 23.5 years of SFC licence history. 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 | Pre-2003 | 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 | Pre-2003 | 2005-12-01 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-02 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 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 | Pre-2003 | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-02 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sendy So Fun Siu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.