Personnel Hong Kong SFC License Details (ID 96054)

Personnel Hong Kong SFC License Details (ID 96054)

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
TOPAZ CAPITAL MANAGEMENT LIMITED	Rep	Asset management	2019-07-16	-
Topaz Financial Group Limited	Rep	Advising on securities	2019-07-16	2026-08-11
	Rep	Dealing in futures contracts	2017-11-27	-
	Rep	Dealing in securities	2017-11-27	-
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2015-05-26	2017-08-07
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2010-03-18	2017-08-07
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2009-07-29	2017-08-07