Ned Phillips
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ned Phillips ( ), a licensed former licensee with CE reference AFC917. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-18 | 2009-12-31 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2006-05-09 | 2007-11-09 |
| ETRADE Securities Limited 億創證券有限公司 |
RO | Type 1 — Dealing in securities | 2006-05-09 | 2007-10-31 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2006-05-09 | 2007-11-09 |
| ETRADE Securities Limited 億創證券有限公司 |
RO | Type 4 — Advising on securities | 2006-05-09 | 2007-10-31 |
| Virtu ITG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2004-03-01 | 2006-03-31 |
| Virtu ITG Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | 2004-03-01 | 2006-03-31 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-29 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-19 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-19 |