Personnel Hong Kong SFC License Details (ID 13959006)

Personnel Hong Kong SFC License Details (ID 13959006)

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
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2021-12-08	2022-11-11
Soochow Securities International Brokerage Limited	Rep	Advising on securities	2021-11-17	2022-11-11
	Rep	Dealing in securities	2021-11-17	2022-11-11
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2020-08-13	2021-09-24
	Rep	Dealing in securities	2020-08-13	2021-09-24
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-09-04	2020-05-06
	Rep	Dealing in securities	2019-08-27	2020-05-06
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2018-04-19	2019-08-09