Phillips, Sam Johnathon
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Anuenue Securities Limited | Rep | Dealing in securities | 2013-01-23 | 2015-10-23 | RO | Dealing in securities | 2015-10-23 | 2016-07-01 |
| 2 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Advising on corporate finance | 2004-01-05 | Rep | Advising on securities | 2004-01-05 | Rep | Asset management | 2004-01-05 | Rep | Automated trading services | 2004-01-05 | Rep | Dealing in securities | 2004-08-18 | RO | Dealing in securities | 2004-08-18 | 2010-01-08 |
| 3 | MCM Asia Limited | Rep | Advising on securities | 2018-09-27 | 2018-11-05 | Rep | Dealing in securities | 2018-09-27 | 2018-11-05 | RO | Advising on securities | 2018-11-05 | 2021-02-01 | RO | Dealing in securities | 2018-11-05 | 2021-02-01 |
| 4 | MF Global Hong Kong Limited | Rep | Dealing in securities | 2010-02-08 | 2010-04-29 | Rep | Dealing in futures contracts | 2010-03-10 | 2011-09-14 | RO | Dealing in securities | 2010-04-29 | 2011-09-14 |
| 5 | Ord Minnett Hong Kong Limited | Rep | Advising on securities | 2017-07-03 | 2018-04-13 | Rep | Dealing in securities | 2017-07-03 | 2018-04-13 | RO | Advising on securities | 2018-04-13 | 2018-07-03 | RO | Dealing in securities | 2018-04-13 | 2018-07-03 | Rep | Advising on securities | 2018-07-03 | 2018-08-20 | Rep | Dealing in securities | 2018-07-03 | 2018-08-20 |
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