Personnel Hong Kong SFC License Details (ID 91920)

Personnel Hong Kong SFC License Details (ID 91920)

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 SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2016-12-30	-
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Asset management	2013-10-07	2018-01-05
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2012-03-01	-
	Rep	Dealing in futures contracts	2009-05-14	-
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-05-14	-
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2008-11-10	2009-05-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2008-11-10	2009-05-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2007-03-30	2008-09-17
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2007-03-30	2008-09-17