Personnel SFC Licences and HKMA Registrations (ID 23566948)

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
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2025-09-29	-
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2023-05-08	-
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2020-11-18	2023-05-01
	Rep	Dealing in securities	2020-11-18	2023-05-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-08-19	2020-11-06
	Rep	Dealing in securities	2019-08-19	2020-11-06

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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