Sam Johnathon Phillips
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sam Johnathon Phillips ( ), a licensed former licensee with CE reference AGT128. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MCM Asia Limited (以曼睿資本名義經營業務) |
RO | Type 1 — Dealing in securities | 2018-11-05 | 2021-02-01 |
| MCM Asia Limited (以曼睿資本名義經營業務) |
RO | Type 4 — Advising on securities | 2018-11-05 | 2021-02-01 |
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 1 — Dealing in securities | 2018-09-27 | 2018-11-05 |
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 4 — Advising on securities | 2018-09-27 | 2018-11-05 |
| Ord Minnett Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2018-07-03 | 2018-08-20 |
| Ord Minnett Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2018-07-03 | 2018-08-20 |
| Ord Minnett Hong Kong Limited |
RO | Type 1 — Dealing in securities | 2018-04-13 | 2018-07-03 |
| Ord Minnett Hong Kong Limited |
RO | Type 4 — Advising on securities | 2018-04-13 | 2018-07-03 |
| Ord Minnett Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2017-07-03 | 2018-04-13 |
| Ord Minnett Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2017-07-03 | 2018-04-13 |
| Anuenue Securities Limited 鉅亨證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-10-23 | 2016-07-01 |
| Anuenue Securities Limited 鉅亨證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-23 | 2015-10-23 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
RO | Type 1 — Dealing in securities | 2010-04-29 | 2011-09-14 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-10 | 2011-09-14 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-08 | 2010-04-29 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2004-08-18 | 2010-01-08 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-08-18 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-05 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-05 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-01-05 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-05 |