Personnel Hong Kong SFC License Details (ID 94922)

Personnel Hong Kong SFC License Details (ID 94922)

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
Nerico Brothers Limited (HK)	Rep	Dealing in futures contracts	2014-01-07	2015-04-27
	Rep	Dealing in securities	2014-01-07	2015-04-27
	Rep	Leveraged foreign exchange trading	2014-01-07	2015-04-27
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2013-07-17	2014-01-01
	Rep	Leveraged foreign exchange trading	2013-07-17	2014-01-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-07-17	2014-01-01
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2011-07-28	2013-07-11
South China Forex Limited	Rep	Leveraged foreign exchange trading	2011-07-28	2013-07-11
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2011-07-28	2013-07-11
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2006-11-28	2011-06-14
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2006-11-28	2011-06-14
	Rep	Leveraged foreign exchange trading	2006-11-28	2011-06-14
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2006-02-09	2006-11-11
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2006-02-09	2006-11-11
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2006-02-09	2006-11-11
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2005-08-08	2006-01-13
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-02-20
	Rep	Asset management	-	2004-02-20
	Rep	Dealing in futures contracts	-	2006-01-13