Personnel Hong Kong SFC License Details (ID 96062)

Personnel Hong Kong SFC License Details (ID 96062)

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) ASSET MANAGEMENT LIMITED	RO	Advising on securities	2020-09-03	2022-12-23
	RO	Asset management	2020-09-03	2022-12-23
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2020-09-03	2022-12-23
	RO	Dealing in securities	2017-01-06	2022-12-23
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	Dealing in futures contracts	2017-01-06	2022-12-23
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Asset management	2014-03-12	2020-09-03
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2011-01-26	2020-09-03
	Rep	Dealing in securities	2007-06-08	2017-01-06
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2007-06-08	2017-01-06