Personnel Hong Kong SFC License Details (ID 85237)

Personnel Hong Kong SFC License Details (ID 85237)

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
Hong Xiang Securities Hong Kong Company Limited	RO	Advising on securities	2025-03-03	-
	RO	Dealing in securities	2025-03-03	-
Going Securities Limited	RO	Advising on securities	2023-10-06	2024-10-15
	Rep	Asset management	2023-10-06	2024-10-15
	RO	Dealing in securities	2022-06-30	2024-10-15
	RO	Advising on futures contracts	2020-12-30	2024-10-15
	RO	Dealing in futures contracts	2020-12-30	2024-10-15
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2016-07-01	2020-12-22
	Rep	Dealing in securities	2014-08-19	2016-06-30
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2014-08-19	2020-12-22
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2014-08-19	2016-06-30
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-04-09	2014-05-09
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-04-09	2014-05-09
KGI ASIA LIMITED	Rep	Dealing in securities	2008-08-05	2013-03-09
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-08-05	2013-03-09
PHILLIP COMMODITIES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2004-03-16	2004-11-10
	Rep	Dealing in futures contracts	2004-03-16	2008-07-19
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-03-16	2008-07-19