SFC Licences of PHILLIPS Ned
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 18 September 2008 | 31 December 2009 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 | RO | 4 | 09 May 2006 | 09 November 2007 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 | RO | 1 | 09 May 2006 | 09 November 2007 |
| ETRADE Securities Limited 億創證券有限公司 | RO | 4 | 09 May 2006 | 31 October 2007 |
| ETRADE Securities Limited 億創證券有限公司 | RO | 1 | 09 May 2006 | 31 October 2007 |
| Virtu ITG Hong Kong Limited | RE | 7 | 01 March 2004 | 31 March 2006 |
| Virtu ITG Hong Kong Limited | RE | 1 | 01 March 2004 | 31 March 2006 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 | RE | 4 | 01 April 2003 | 29 February 2004 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 | RE | 9 | 01 April 2003 | 19 February 2004 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 | RE | 6 | 01 April 2003 | 19 February 2004 |