Personnel Hong Kong SFC License Details (ID 84819)

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
Core Pacific - Yamaichi Asset Management Limited	RO	Asset management	2025-05-16	-
	Rep	Asset management	2020-09-30	2025-05-16
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2016-07-01	-
	RO	Dealing in securities	2016-07-01	-
	RO	Advising on securities	2014-05-12	2016-06-30
	RO	Dealing in securities	2014-05-12	2016-06-30
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2014-05-12	-
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2014-05-12	2016-06-30
RHB FUTURES HONG KONG LIMITED	RO	Dealing in futures contracts	2011-12-05	2014-03-04
RHB SECURITIES HONG KONG LIMITED	RO	Advising on securities	2011-12-05	2014-03-04
	RO	Dealing in securities	2011-12-05	2014-03-04
KGI FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2008-02-12	2011-11-10
KGI ASIA LIMITED	Rep	Advising on securities	2007-08-07	2011-11-10
KGI SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2007-08-07	2011-11-10
KGI ASIA LIMITED	RO	Dealing in securities	2006-07-24	2011-11-10
KGI FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2006-07-24	2011-11-10
KGI SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2006-07-24	2011-11-10
KGI ASIA LIMITED	Rep	Dealing in securities	2006-04-11	2006-07-24
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-04-11	2006-07-24
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-04-11	2006-07-24
PHILLIP COMMODITIES (HK) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-08-15
	Rep	Asset management	2003-04-01	2003-12-09
	Rep	Advising on futures contracts	2003-04-01	2005-03-29
	Rep	Dealing in futures contracts	2003-04-01	2006-04-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-03-29
	Rep	Asset management	2003-04-01	2005-03-29
	Rep	Advising on securities	2003-04-01	2006-04-01
	Rep	Dealing in securities	2003-04-01	2006-04-01