Personnel Hong Kong SFC License Details (ID 91593)

Personnel Hong Kong SFC License Details (ID 91593)

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
LumenOMI Capital Limited	RO	Asset management	2025-12-17	-
Delta Fund Management Company Limited	RO	Advising on securities	2023-03-09	2025-12-04
	RO	Asset management	2023-03-09	2025-12-04
	RO	Dealing in securities	2023-03-09	2025-12-04
Shang International Finance Limited	RO	Advising on securities	2018-07-13	2023-02-28
	RO	Dealing in securities	2018-07-13	2023-02-28
Brilliant Norton Securities Company Limited	RO	Advising on securities	2016-06-23	2018-01-19
	RO	Dealing in securities	2016-06-23	2018-01-19
	Rep	Advising on securities	2016-05-16	2016-06-23
	Rep	Dealing in securities	2016-05-16	2016-06-23
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2015-07-27	2016-05-14
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-07-27	2016-05-14
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2012-03-22	2015-07-22
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-03-22	2015-07-22
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2010-09-28	2012-03-17
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2009-11-10	2012-03-17
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-11-10	2012-03-17