Personnel Hong Kong SFC License Details (ID 76876)

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
CHOCOLATE FINANCE HK LIMITED	RO	Advising on securities	2025-12-11	-
	RO	Asset management	2025-12-11	-
	RO	Dealing in securities	2025-12-11	-
	Rep	Advising on securities	2025-11-10	2025-12-11
	Rep	Asset management	2025-11-10	2025-12-11
	Rep	Dealing in securities	2025-11-10	2025-12-11
Mint Capital Limited (HK)	RO	Advising on securities	2025-09-17	2025-10-03
	RO	Asset management	2025-09-17	2025-10-03
Pulun International Asset Management Limited	RO	Asset management	2020-10-16	2025-09-12
	Rep	Asset management	2018-08-28	2020-10-16
Pulun International Securities Limited	RO	Advising on securities	2016-12-05	2025-09-12
	RO	Dealing in securities	2016-12-05	2025-09-12
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2016-07-01	2016-10-07
	Rep	Dealing in securities	2009-05-13	2016-06-30
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-05-13	2016-10-07
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-05-13	2016-06-30
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2007-11-23	2009-05-01
	Rep	Dealing in futures contracts	2007-11-23	2009-05-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-11-23	2009-05-01
FT Securities Limited	Rep	Advising on futures contracts	2007-03-15	2007-11-10
	Rep	Dealing in futures contracts	2007-03-15	2007-11-10
	Rep	Dealing in securities	2007-03-15	2007-11-10
PHILLIP COMMODITIES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2005-06-21	2007-03-03
	Rep	Advising on futures contracts	2004-11-02	2007-03-03
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2004-06-09	2007-03-03
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2003-12-04	2007-03-03
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2003-12-04	2007-03-03