Personnel Hong Kong SFC License Details (ID 96076)

Personnel Hong Kong SFC License Details (ID 96076)

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	-
	RO	Asset management	2020-09-03	2021-04-08
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2020-09-03	-
	RO	Dealing in securities	2017-04-20	-
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	Dealing in futures contracts	2017-04-20	-
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-12-30	2020-09-03
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2012-07-16	2020-09-03
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2007-12-12	2009-01-20
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2007-12-12	2017-04-20
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2007-12-12	2017-04-20
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2007-01-16	2007-07-16
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2006-10-20	2007-07-16
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2006-10-20	2007-07-16