Personnel Hong Kong SFC License Details (ID 71782)

Personnel Hong Kong SFC License Details (ID 71782)

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
Guosen Securities (HK) Brokerage Company, Limited	RO	Dealing in securities	2020-10-27	2022-09-27
	Rep	Advising on futures contracts	2020-02-03	2022-09-27
	Rep	Advising on securities	2020-02-03	2022-09-27
	Rep	Dealing in futures contracts	2019-11-20	2022-09-27
	Rep	Dealing in securities	2019-09-30	2020-10-27
Genting Securities Limited	RO	Dealing in securities	2017-08-03	2019-07-31
	Rep	Dealing in securities	2017-06-28	2017-08-03
China Sunrise Securities (International) Limited	Rep	Dealing in securities	2016-02-11	2017-06-18
FRONTIER CAPITAL MANAGEMENT LIMITED (HK)	Rep	Dealing in securities	2015-01-07	2016-01-22
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2011-04-27	2014-10-02
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2011-04-27	2014-10-02
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2011-03-31	2011-04-15
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2010-12-17	2011-04-15
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-12-17	2011-04-15
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2010-06-17	2010-12-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2010-06-17	2010-12-01