Personnel Hong Kong SFC License Details (ID 83797)

Personnel Hong Kong SFC License Details (ID 83797)

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
FWD Life Insurance Company (Bermuda) Limited	Rep	Asset management	2011-11-18	2022-02-16
FWD Financial Planning Limited (HK)	Rep	Advising on securities	2011-03-11	2022-02-16
	Rep	Dealing in securities	2011-03-11	2022-02-16
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2010-06-23	2011-02-17
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2010-06-23	2011-01-28
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2009-12-30	2010-06-18