Personnel Hong Kong SFC License Details (ID 92393)

Personnel Hong Kong SFC License Details (ID 92393)

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 COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2021-07-22	-
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2021-07-22	-
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2012-06-14	2021-06-30
	Rep	Dealing in securities	2012-06-14	2021-06-30
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2006-08-28	2013-09-13
	Rep	Dealing in securities	2005-04-07	2013-09-13
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-20
	Rep	Advising on securities	2003-04-01	2004-01-20
	Rep	Asset management	2003-04-01	2004-01-20
	Rep	Dealing in securities	2003-04-01	2005-03-31