Personnel Hong Kong SFC License Details (ID 81550)

Personnel Hong Kong SFC License Details (ID 81550)

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
Quam Securities Limited	Rep	Dealing in futures contracts	2012-02-27	2018-02-09
	Rep	Dealing in securities	2012-02-27	2018-02-09
RaffAello Securities (HK) Limited	Rep	Dealing in securities	2011-11-02	2012-02-19
Ark Securities (Hong Kong) Limited	Rep	Advising on securities	2008-07-29	2011-10-26
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2008-07-29	2011-10-26
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2008-06-04	2011-10-26
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-04	2011-10-26
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-06-27	2008-06-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-06-27	2008-06-01