Personnel Hong Kong SFC License Details (ID 91608)

Personnel Hong Kong SFC License Details (ID 91608)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2021-04-07	-
	Rep	Dealing in securities	2021-02-01	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2021-02-01	-
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2020-09-10	2021-01-06
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-09-10	2021-01-06
Quam Securities Limited	Rep	Dealing in futures contracts	2018-06-01	2020-08-28
	Rep	Dealing in securities	2018-06-01	2020-08-28
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2018-05-16
	Rep	Dealing in securities	2015-02-13	2017-10-02
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-02-13	2018-05-16
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-12-05	2015-02-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-09-05	2015-02-06