Personnel Hong Kong SFC License Details (ID 96039)

Personnel Hong Kong SFC License Details (ID 96039)

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
BEA Union Investment Management Limited	Rep	Asset management	2021-02-19	-
DBS VICKERS (HONG KONG) LIMITED	Rep	Advising on securities	2016-06-06	2021-01-10
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2015-12-30	2016-05-15
	Rep	Advising on securities	2015-08-21	2015-12-30
HANG SENG INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2015-03-24	2015-08-07
CINDA INTERNATIONAL RESEARCH LIMITED	Rep	Advising on securities	2012-02-08	2014-11-14
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2009-05-06	2012-01-02
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2009-05-06	2012-01-02
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2009-05-06	2012-01-02