So, Stephen Chi King 蘇子勁
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 | ADMIS Hong Kong Limited | Rep | Dealing in futures contracts | 2003-10-08 | 2004-07-14 |
| 2 | CHINA FINANCE KAB ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2015-05-11 | 2015-08-13 | Rep | Asset management | 2015-05-11 | 2015-08-13 |
| 3 | China Finance KAB Limited | Rep | Advising on securities | 2015-05-11 | 2015-08-13 | Rep | Dealing in futures contracts | 2015-05-11 | 2015-08-13 | Rep | Dealing in securities | 2015-05-11 | 2015-08-13 |
| 4 | CMC Markets Asia Limited | Rep | Leveraged foreign exchange trading | 2006-02-20 | 2006-04-10 |
| 5 | EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-12-02 | 2016-04-01 | Rep | Advising on futures contracts | 2016-01-29 | 2016-04-01 |
| 6 | EMPEROR SECURITIES LIMITED (HK) | Rep | Advising on securities | 2015-12-02 | 2016-04-01 | Rep | Dealing in securities | 2015-12-02 | 2016-04-01 |
| 7 | Nerico Brothers Limited (HK) | Rep | Dealing in futures contracts | 2009-05-26 | 2012-10-24 | Rep | Dealing in securities | 2009-05-26 | 2012-10-24 | Rep | Leveraged foreign exchange trading | 2009-05-26 | 2012-10-24 | Rep | Asset management | 2009-08-05 | 2012-10-24 |
| 8 | PERFECT ASSET MANAGEMENT LIMITED (HK) | Rep | Advising on securities | 2003-05-02 | 2003-09-24 | Rep | Advising on securities | 2006-07-25 | 2006-11-28 |
| 9 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Advising on futures contracts | 2007-01-02 | 2007-04-21 | Rep | Dealing in futures contracts | 2007-01-02 | 2007-04-21 | Rep | Leveraged foreign exchange trading | 2007-01-02 | 2007-04-21 | Rep | Dealing in futures contracts | 2007-07-26 | 2009-05-13 | Rep | Advising on futures contracts | 2007-12-07 | 2009-05-13 | Rep | Leveraged foreign exchange trading | 2009-01-19 | 2009-05-13 |
| 10 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2006-12-19 | 2007-04-21 | Rep | Dealing in securities | 2007-01-02 | 2007-04-21 | Rep | Dealing in securities | 2007-07-26 | 2009-05-13 | Rep | Advising on securities | 2007-12-07 | 2009-05-13 |
| 11 | Quam Securities Limited | Rep | Advising on securities | 2012-11-05 | 2014-03-01 | Rep | Asset management | 2012-11-05 | 2014-03-01 | Rep | Dealing in futures contracts | 2012-11-05 | 2014-03-01 | Rep | Dealing in securities | 2012-11-05 | 2014-03-01 |
| 12 | REFCO FOREX LIMITED | Rep | Leveraged foreign exchange trading | 2003-12-04 | 2006-02-09 |
| 13 | SILVERBRICKS ASSET MANAGEMENT COMPANY LIMITED | Rep | Advising on securities | 2023-05-31 | Rep | Asset management | 2023-05-31 |
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