Personnel SFC Licences and HKMA Registrations (ID 102199)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Dealing in securities	2026-03-04	-
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2021-04-08	2023-06-26
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2021-04-08	2023-06-26
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2007-05-15	2010-07-17
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2007-04-12	2010-07-17
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2005-12-08	2006-08-30
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-12-08	2007-04-01
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-02-28	2005-10-05
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-01-20	2005-10-05
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-01-03	2005-02-25
PHILLIP COMMODITIES (HK) LIMITED	Rep	Providing automated trading services	2003-06-17	2003-08-15
	Rep	Dealing in futures contracts	2003-06-17	2004-06-25

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.