Personnel Hong Kong SFC License Details (ID 91520)

Personnel Hong Kong SFC License Details (ID 91520)

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
PHILLIP COMMODITIES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2009-04-28	-
	Rep	Advising on futures contracts	2009-04-28	2025-10-28
	Rep	Dealing in futures contracts	2009-04-06	-
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-04-06	-
	Rep	Advising on securities	2009-04-06	2025-10-28
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2006-03-20	2009-04-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2003-10-03	2009-04-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-09-30
	Rep	Asset management	2003-04-01	2003-09-30
	Rep	Dealing in futures contracts	2003-04-01	2009-04-01