Personnel SFC Licences and HKMA Registrations (ID 91909)

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	Dealing in futures contracts	2004-11-08	2025-07-16
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-11-08	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2004-03-05	2004-09-17
	Rep	Dealing in securities	2003-10-22	2004-09-17
VC BROKERAGE LIMITED	Rep	Providing automated trading services	2003-04-01	2003-08-26
	Rep	Advising on corporate finance	2003-04-01	2003-10-21
	Rep	Advising on securities	2003-04-01	2003-10-21
	Rep	Asset management	2003-04-01	2003-10-21
	Rep	Dealing in securities	2003-04-01	2003-10-22
VC FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-10-21
	Rep	Asset management	2003-04-01	2003-10-21
	Rep	Dealing in futures contracts	2003-04-01	2003-10-22

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.