Personnel SFC Licences and HKMA Registrations (ID 95845)

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 CAPITAL MANAGEMENT (HK) LIMITED	Rep	Asset management	2022-08-26	2024-08-13
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2022-08-26	2025-06-30
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2022-08-26	-
	Rep	Advising on securities	2022-08-26	2025-08-18
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2016-07-13	2022-07-18
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-09-02	2022-07-18
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2013-09-02	2022-07-18
	Rep	Dealing in securities	2013-09-02	2022-07-18
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2011-07-11	2012-11-09
	Rep	Dealing in securities	2011-04-07	2012-11-09
Lion Global Financial Limited	Rep	Asset management	2010-05-12	2011-03-11
	Rep	Dealing in securities	2010-05-12	2011-03-11

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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