Personnel Hong Kong SFC License Details (ID 92038)

Personnel Hong Kong SFC License Details (ID 92038)

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	Dealing in securities	2009-11-06	-
KGI ASIA LIMITED	Rep	Dealing in securities	2009-07-21	2009-10-28
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-02-09	2009-07-11
YU ON SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2005-03-02	2007-02-08
CVP Securities Limited	Rep	Dealing in securities	2004-11-11	2005-02-25
YU ON SECURITIES COMPANY LIMITED	Rep	Providing automated trading services	2003-04-01	2003-07-03
	Rep	Advising on corporate finance	2003-04-01	2003-10-06
	Rep	Advising on securities	2003-04-01	2003-10-06
	Rep	Asset management	2003-04-01	2003-10-06
	Rep	Dealing in securities	2003-04-01	2004-11-08