Personnel SFC Licences and HKMA Registrations (ID 91481)

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	2016-10-25	2025-06-30
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2003-09-30	-
	Rep	Advising on futures contracts	2003-09-30	2025-06-30
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2003-06-05	2016-09-26
	Rep	Asset management	2003-06-05	2024-08-13
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2003-06-05	-
	Rep	Providing automated trading services	2003-06-05	2016-01-25
VC BROKERAGE LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-03
	Rep	Advising on securities	2003-04-01	2003-06-03
	Rep	Asset management	2003-04-01	2003-06-03
	Rep	Providing automated trading services	2003-04-01	2003-06-03
	Rep	Dealing in securities	2003-04-01	2003-06-03

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.