Personnel Hong Kong SFC License Details (ID 127349)

Personnel Hong Kong SFC License Details (ID 127349)

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
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2015-01-29	2019-03-29
Nerico Brothers Limited (HK)	Rep	Dealing in securities	2014-10-29	2014-12-18
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2010-12-31	2011-03-18
	Rep	Dealing in securities	2010-12-31	2011-03-18
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2010-12-31	2011-03-18
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2010-02-23	2010-12-10
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2009-10-09	2010-12-10
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-02-05	2010-12-10