Personnel Hong Kong SFC License Details (ID 2212017)

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
CANTON MUTUAL FINANCIAL LIMITED	RO	Advising on securities	2025-02-11	-
	RO	Dealing in securities	2025-02-11	-
	Rep	Asset management	2025-02-04	-
	Rep	Advising on securities	2025-02-04	2025-02-11
	Rep	Dealing in securities	2025-02-04	2025-02-11
TUNG YAT SECURITIES LIMITED	RO	Advising on securities	2024-02-26	2025-01-14
	RO	Dealing in securities	2024-02-26	2025-01-14
	Rep	Advising on securities	2024-02-19	2024-02-26
	Rep	Dealing in securities	2024-02-19	2024-02-26
	Rep	Asset management	2024-02-19	2025-01-14
Wealth Management Cube Limited	RO	Dealing in securities	2021-06-29	2022-02-06
iTrade Securities Investment Limited	RO	Advising on securities	2020-12-15	2021-06-18
	RO	Dealing in securities	2018-07-06	2021-06-18
	Rep	Dealing in securities	2017-04-10	2018-07-06
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2016-03-08	2016-10-11
	Rep	Dealing in futures contracts	2016-03-08	2016-10-11
	Rep	Dealing in securities	2016-03-08	2016-10-11
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2015-03-11	2015-11-26
	Rep	Dealing in securities	2015-03-11	2015-11-26
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2015-03-11	2015-11-26
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2015-03-11	2015-11-26
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2014-11-04	2015-03-01
	Rep	Dealing in futures contracts	2014-11-04	2015-03-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2014-11-04	2015-03-01
	Rep	Dealing in securities	2014-11-04	2015-03-01
Imperium International Asset Management Limited	Rep	Advising on futures contracts	2014-08-08	2014-09-23
	Rep	Advising on securities	2014-08-08	2014-09-23
	Rep	Asset management	2014-08-08	2014-09-23
IMPERIUM INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2014-08-08	2014-09-23
	Rep	Dealing in securities	2014-02-26	2014-09-23