Personnel Hong Kong SFC License Details (ID 85129)

Personnel Hong Kong SFC License Details (ID 85129)

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
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2019-06-14
	Rep	Dealing in securities	2017-10-03	2020-03-05
	Rep	Advising on securities	2011-03-15	2017-10-02
	Rep	Dealing in securities	2010-05-06	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-05-06	2019-06-03
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2009-11-13	2009-12-11
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2009-11-13	2009-12-11
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-10-02	2009-10-27
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-10-02	2009-10-27
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-10-02	2009-10-27
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2006-09-13	2009-04-10
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2006-09-13	2009-04-10
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2006-07-13	2009-04-10
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-07-13	2009-04-10