Personnel Hong Kong SFC License Details (ID 93179)

Personnel Hong Kong SFC License Details (ID 93179)

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	Advising on futures contracts	2018-03-19	2019-07-30
	Rep	Dealing in futures contracts	2018-03-19	2025-06-30
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-03-19	-
	Rep	Advising on securities	2018-03-19	2019-07-30
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2007-07-27	2017-09-14
	Rep	Advising on securities	2007-07-27	2017-09-14
	Rep	Dealing in futures contracts	2007-07-27	2017-09-14
	Rep	Dealing in securities	2007-07-27	2017-09-14
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-10-13	2006-07-31
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-10-19	2006-07-31
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-10-19	2006-07-31
RBC FUTURES SERVICES (ASIA) LIMITED	Rep	Asset management	2003-04-01	2003-06-18
	Rep	Advising on futures contracts	2003-04-01	2004-02-17
	Rep	Dealing in futures contracts	2003-04-01	2004-10-15
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-17
	Rep	Asset management	2003-04-01	2004-02-17
	Rep	Advising on securities	2003-04-01	2004-10-15
	Rep	Dealing in securities	2003-04-01	2004-10-15