Personnel SFC Licences and HKMA Registrations (ID 126563)

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
SORRENTO SECURITIES LIMITED	RO	Advising on securities	2019-01-09	-
	RO	Dealing in securities	2018-06-21	-
	Rep	Dealing in securities	2018-05-02	2018-06-21
	Rep	Advising on securities	2018-05-02	2019-01-09
CENTALINE SECURITIES LIMITED	RO	Dealing in securities	2017-12-04	2018-04-30
CENTALINE WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2016-11-24	2018-04-30
CENTALINE SECURITIES LIMITED	Rep	Dealing in securities	2016-05-31	2017-12-04
EMPEROR FUTURES LIMITED	Rep	Advising on futures contracts	2015-05-13	2016-05-16
	Rep	Dealing in futures contracts	2015-05-13	2016-05-16
EMPEROR SECURITIES LIMITED (HK)	Rep	Advising on securities	2015-05-13	2016-05-16
	Rep	Dealing in securities	2015-05-13	2016-05-16
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2013-06-21	2015-04-20
	Rep	Dealing in futures contracts	2011-10-07	2015-04-20
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2011-10-07	2015-04-20
	Rep	Dealing in securities	2011-10-07	2015-04-20
	Rep	Advising on securities	2010-06-09	2011-06-11
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2008-09-01	2011-06-11
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-09-01	2011-06-11

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.