Personnel Hong Kong SFC License Details (ID 96056)

Personnel Hong Kong SFC License Details (ID 96056)

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
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2020-09-17	-
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2020-09-17	-
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Dealing in securities	2016-09-09	2020-08-07
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	Dealing in futures contracts	2016-09-09	2020-08-07
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-08-30
	Rep	Advising on securities	2003-04-01	2004-08-30
	Rep	Asset management	2003-04-01	2004-08-30
	Rep	Dealing in securities	2003-04-01	2016-09-09
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2005-03-02
	Rep	Asset management	2003-04-01	2005-03-02
	Rep	Dealing in futures contracts	2003-04-01	2016-09-09