Personnel Hong Kong SFC License Details (ID 97593)

Personnel Hong Kong SFC License Details (ID 97593)

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
Quam Securities Limited	Rep	Dealing in futures contracts	2012-03-20	2016-03-31
	Rep	Dealing in securities	2012-03-20	2016-03-31
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2005-06-29	2012-02-24
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-06-29	2012-02-24
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2004-05-19	2004-12-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-04-20	2004-12-01
Planetree Securities Limited	Rep	Advising on corporate finance	-	2004-01-28
	Rep	Advising on securities	-	2004-01-28
	Rep	Asset management	-	2004-01-28
	Rep	Dealing in securities	-	2004-03-26