Personnel Hong Kong SFC License Details (ID 96040)

Personnel Hong Kong SFC License Details (ID 96040)

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
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2021-02-24	2022-09-30
	RO	Dealing in securities	2020-11-06	2022-09-30
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	Dealing in futures contracts	2020-11-06	2022-09-30
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2020-08-13	2020-11-06
	Rep	Advising on securities	2020-08-13	2021-02-24
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2020-08-13	2020-11-06
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2019-07-16	2020-05-31
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2019-07-16	2020-05-31
	Rep	Dealing in securities	2019-07-16	2020-05-31
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2008-01-23	2018-09-04
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	Dealing in futures contracts	2008-01-23	2018-09-04
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2007-03-21	2018-09-04
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2007-03-21	2008-01-23
	RO	Dealing in futures contracts	2003-06-05	2005-10-01
	Rep	Advising on futures contracts	-	2003-04-30
	Rep	Asset management	-	2003-04-30
	Rep	Dealing in futures contracts	-	2003-06-05