Personnel Hong Kong SFC License Details (ID 107526)

Personnel Hong Kong SFC License Details (ID 107526)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Dynasty Alliance Investment Management Limited	Rep	Advising on securities	2019-08-21	-
	Rep	Asset management	2019-08-21	-
Innovest Securities Investment Limited	Rep	Dealing in securities	2019-08-21	2022-07-01
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2009-05-21	2010-06-18
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2009-05-21	2010-06-18
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2007-12-17	2008-12-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2007-12-17	2008-12-01
	Rep	Dealing in futures contracts	2003-10-02	2006-05-07
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-23
	Rep	Advising on securities	2003-04-01	2003-09-23
	Rep	Asset management	2003-04-01	2003-09-23
	Rep	Dealing in securities	2003-04-01	2006-05-07