Simon Chi Wai Fan
樊志偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Chi Wai Fan (樊志偉), a licensed former licensee with CE reference AGB716. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Principal Global Investors (Asia) Limited 信安環球投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-22 | 2013-01-11 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-12 | 2009-11-26 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-10-12 | 2009-11-26 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2009-10-12 | 2009-11-26 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-04-30 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-04-30 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-04-30 |