Personnel Hong Kong SFC License Details (ID 91998)

Personnel Hong Kong SFC License Details (ID 91998)

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
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2018-09-04
	Rep	Dealing in securities	2017-10-03	2018-09-04
	Rep	Advising on securities	2016-09-09	2017-10-02
	Rep	Dealing in securities	2016-09-09	2017-10-02
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2012-08-16	2016-09-01
	Rep	Dealing in securities	2011-09-09	2016-09-01
Quam Securities Limited	Rep	Dealing in securities	2010-10-22	2011-09-01
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2010-04-12	2010-10-16
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2010-04-12	2010-10-16
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-09	2010-04-01