Personnel SFC Licences and HKMA Registrations (ID 96076)

Personnel SFC Licences and HKMA Registrations (ID 96076)

主要資料牌照與登記公開紀律行動

證監會牌照

沒有開始日期的人士至少自現行登記冊於2003年4月1日啟用時起已擔任該職位。

顯示機構舊稱

只顯示現有牌照

機構	角色	受規管活動	開始日期	結束日期
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	RO	就證券提供意見	2020-09-03	-
	RO	提供資產管理	2020-09-03	2021-04-08
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	就證券提供意見	2020-09-03	-
	RO	證券交易	2017-04-20	-
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	期貨合約交易	2017-04-20	-
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	提供資產管理	2013-12-30	2020-09-03
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	就證券提供意見	2012-07-16	2020-09-03
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	就證券提供意見	2007-12-12	2009-01-20
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	證券交易	2007-12-12	2017-04-20
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期貨合約交易	2007-12-12	2017-04-20
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	就證券提供意見	2007-01-16	2007-07-16
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	證券交易	2006-10-20	2007-07-16
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期貨合約交易	2006-10-20	2007-07-16

金管局登記

金管局有關人士登記與證監會牌照獨立展示。EO 表示主管人員。

僅顯示現任登記

已採集記錄中暫無金管局登記。