Tong, Johnson Shing 唐誠 SFC Licences and HKMA Registrations (ID 96076)

Tong, Johnson Shing 唐誠 SFC Licences and HKMA Registrations (ID 96076)

关键资料牌照与登记公开纪律行动

证监会牌照

没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	RO	就证券提供意见	2020-09-03	-
	RO	提供资产管理	2020-09-03	2021-04-08
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	就证券提供意见	2020-09-03	-
	RO	证券交易	2017-04-20	-
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	期货合约交易	2017-04-20	-
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2013-12-30	2020-09-03
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	就证券提供意见	2012-07-16	2020-09-03
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	就证券提供意见	2007-12-12	2009-01-20
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	证券交易	2007-12-12	2017-04-20
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2007-12-12	2017-04-20
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	就证券提供意见	2007-01-16	2007-07-16
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	证券交易	2006-10-20	2007-07-16
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2006-10-20	2007-07-16

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

仅显示现任登记

已采集记录中暂无金管局登记。