Personnel Hong Kong SFC License Details (ID 123839)

Personnel Hong Kong SFC License Details (ID 123839)

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
Quam Securities Limited	Rep	Dealing in futures contracts	2014-04-24	2015-03-07
	Rep	Dealing in securities	2014-04-24	2015-03-07
FORTUNE (HK) SECURITIES LIMITED	Rep	Dealing in securities	2013-05-07	2014-02-11
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-07-28	2010-05-08
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-07-28	2010-05-08
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-07-28	2010-05-08
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2008-03-11	2008-11-25
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2007-12-18	2008-11-25
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-12-18	2008-11-25