Personnel Hong Kong SFC License Details (ID 81530)

Personnel Hong Kong SFC License Details (ID 81530)

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
Soliton Securities Limited	RO	Advising on securities	2026-05-11	-
	RO	Dealing in securities	2026-05-11	-
Arta Global Futures Limited	Rep	Dealing in futures contracts	2021-06-04	2022-03-21
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2021-06-04	2022-03-21
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Dealing in securities	2017-04-12	2021-04-30
CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2017-04-12	2021-04-30
KGI ASIA LIMITED	Rep	Dealing in securities	2015-05-14	2017-03-20
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-05-14	2017-03-20
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-05-31	2013-03-16
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-03-27	2007-05-09
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2006-03-23	2007-05-09
HARRIS FRASER (INTERNATIONAL) LIMITED	Rep	Advising on securities	2004-11-02	2005-12-06