Personnel Hong Kong SFC License Details (ID 126330)

Personnel Hong Kong SFC License Details (ID 126330)

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
RUIHUA (INTERNATIONAL) FUND LIMITED	RO	Advising on securities	2021-04-29	-
	RO	Asset management	2021-04-29	-
Conrad Investment Services Limited	RO	Asset management	2020-12-28	2021-04-14
	RO	Advising on securities	2020-08-04	2021-04-14
	Rep	Advising on securities	2020-07-10	2020-08-04
	Rep	Dealing in securities	2020-07-10	2021-04-14
YRD Asset Management Limited	Rep	Dealing in securities	2019-01-28	2019-05-29
	RO	Advising on securities	2018-12-06	2019-05-29
	RO	Asset management	2018-12-06	2019-05-29
Fuh Hwa SITE Asset Management (Hong Kong) Limited	RO	Advising on securities	2017-01-18	2018-11-24
	RO	Asset management	2017-01-18	2018-11-24
	Rep	Advising on securities	2012-09-24	2017-01-18
	Rep	Asset management	2012-09-24	2017-01-18
SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED	Rep	Dealing in futures contracts	2010-08-31	2010-11-08
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2009-02-16	2010-02-07
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2008-12-31	2010-02-07
PHILLIP COMMODITIES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2008-09-30	2010-02-07
	Rep	Dealing in futures contracts	2008-08-05	2010-02-07
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-08-05	2010-02-07