Personnel Hong Kong SFC License Details (ID 91738)

Personnel Hong Kong SFC License Details (ID 91738)

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
Kai Yin Securities Limited	RO	Asset management	2024-08-28	-
	RO	Advising on securities	2023-06-13	-
	RO	Dealing in securities	2023-06-13	-
Vico Capital Limited	Rep	Asset management	2022-08-19	2023-01-13
	RO	Dealing in securities	2020-08-04	2023-01-11
	RO	Advising on securities	2020-08-04	2023-01-13
Brilliant Norton Securities Company Limited	RO	Advising on securities	2017-10-17	2019-09-30
	RO	Dealing in securities	2017-10-17	2019-09-30
	Rep	Advising on securities	2017-10-10	2017-10-17
	Rep	Dealing in securities	2017-10-10	2017-10-17
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2009-06-19	2017-09-28
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2008-07-22	2017-09-28
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-07-22	2017-09-28