Personnel Hong Kong SFC License Details (ID 91928)

Personnel Hong Kong SFC License Details (ID 91928)

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
EAST ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2023-07-11	-
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2023-07-11	-
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2020-09-01	2021-08-15
	Rep	Dealing in securities	2020-07-08	2021-08-15
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2019-12-23	2020-04-13
	Rep	Dealing in securities	2019-12-23	2020-04-13
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2017-04-06	2019-12-13
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	Dealing in securities	2017-04-06	2019-12-13
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2017-04-06	2019-12-13
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2014-02-17	2016-11-07
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2014-01-13	2016-11-07
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2014-01-13	2016-11-07
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2012-02-16	2013-12-15
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2011-07-06	2013-12-15
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-07-06	2013-12-15