Personnel Hong Kong SFC License Details (ID 118973)

Personnel Hong Kong SFC License Details (ID 118973)

Key Data SFC Licenses Public Disciplinary Actions

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
UPMAX SECURITIES LIMITED	Rep	Asset management	2026-07-28	-
	Rep	Dealing in securities	2025-05-15	-
DELTA ASIA FINANCIAL FUTURES LIMITED	Rep	Dealing in futures contracts	2024-09-13	2025-05-02
DELTA ASIA SECURITIES LIMITED	Rep	Dealing in securities	2024-09-13	2025-05-02
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2023-10-11	2024-09-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2023-10-11	2024-09-01
	Rep	Dealing in securities	2023-10-11	2024-09-01
FORTHRIGHT SECURITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2023-07-20	2023-09-04
	Rep	Dealing in securities	2023-07-20	2023-09-04
Public Securities Limited	Rep	Dealing in securities	2022-09-07	2023-07-05
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-06-06	2020-10-14
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2016-09-15	2020-10-14
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2016-09-15	2020-10-14
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2006-08-04	2009-08-06