Phillips, Ned
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 | CLSA LIMITED | Rep | Dealing in securities | 2008-09-18 | 2009-12-31 |
| 2 | ETRADE SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2006-05-09 | 2007-11-09 | RO | Dealing in securities | 2006-05-09 | 2007-11-09 |
| 3 | ETRADE SECURITIES LIMITED | RO | Advising on securities | 2006-05-09 | 2007-10-31 | RO | Dealing in securities | 2006-05-09 | 2007-10-31 |
| 4 | HOENIG (FAR EAST) LIMITED | Rep | Advising on corporate finance | 2004-02-19 | Rep | Asset management | 2004-02-19 | Rep | Advising on securities | 2004-02-29 |
| 5 | Virtu ITG Hong Kong Limited | Rep | Automated trading services | 2004-03-01 | 2006-03-31 | Rep | Dealing in securities | 2004-03-01 | 2006-03-31 |
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