Personnel SFC Licences and HKMA Registrations (ID 91480)

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
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2016-07-27	-
PHILLIP COMMODITIES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2006-09-21	-
	Rep	Dealing in futures contracts	2005-04-11	-
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Asset management	2003-04-01	2007-06-30
	Rep	Advising on securities	2003-04-01	2016-07-04
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2003-04-01	-
	Rep	Advising on corporate finance	2003-04-01	2005-03-29
	Rep	Advising on securities	2003-04-01	2005-03-29
	Rep	Asset management	2003-04-01	2005-03-29

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.