Jacob Thomas Phelps
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jacob Thomas Phelps, a licensed Responsible Officer with CE reference AVD354. Currently licensed at 1 firm(s): SG Securities (HK) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-01-15 | present |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2025-01-15 | present |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2024-11-20 | 2025-01-15 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2024-11-20 | 2025-01-15 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-09-02 | 2019-09-30 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-09-02 | 2019-09-30 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-02-01 | 2017-11-17 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-02-01 | 2017-11-17 |
| SG Asset Finance (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2015-04-08 | 2016-04-29 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-04-08 | 2016-07-29 |
| SG Asset Finance (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2015-04-08 | 2016-04-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-05-07 | 2015-04-08 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-05-07 | 2015-04-08 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-05-07 | 2015-04-08 |