Personnel Hong Kong SFC License Details (ID 97917)

Personnel Hong Kong SFC License Details (ID 97917)

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 securities	2013-01-16	2015-09-01
Waterland Securities (HK) Company Limited	Rep	Dealing in securities	2011-07-14	2012-10-16
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Dealing in securities	2007-08-14	2008-09-30
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2005-09-27	2007-07-24
KCG SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-03-03
	Rep	Advising on securities	-	2004-03-03
	Rep	Asset management	-	2004-03-03
	Rep	Dealing in securities	-	2005-09-12