SFC Licenceholders of Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司
- swsc_dept_compliance@swsc.hk
- Website
- www.swsc.hk
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| AU Chi Ming 歐智明 | RE | 4 | 26 August 2008 | 10 September 2009 |
| CHAN Chi Shing 陳志成 | RE | 4 | 28 September 2006 | 01 December 2006 |
| CHAN Fung Chu 陳鳳珠 | RE | 4 | 20 August 2007 | 11 January 2010 |
| CHAN Ka Kit 陳嘉傑 | RE | 4 | 11 September 2009 | 27 July 2012 |
| CHAN Lai Yin 陳麗賢 | RE | 4 | 20 March 2006 | 01 April 2009 |
| CHAN Lap Chung 陳立中 | RO | 9 | 18 December 2008 | 07 April 2011 |
| CHAN Lap Chung 陳立中 | RE | 4 | 09 November 2010 | 07 April 2011 |
| CHAN Lee Yeung 陳利揚 | RO | 9 | 03 December 2010 | 15 June 2011 |
| CHAN Lee Yeung 陳利揚 | RO | 4 | 01 April 2003 | 30 April 2016 |
| CHAN Pak Hin, Percy 陳柏軒 | RE | 4 | 17 October 2006 | 17 February 2007 |
| CHAN Sai Yuen 陳世源 | RE | 9 | 09 November 2017 | 31 August 2018 |
| CHAN Wing Yin 陳永賢 | RE | 4 | 21 November 2003 | 02 March 2005 |
| CHEN Zhenhong 陳禎泓 | RE | 4 | 08 September 2021 | 20 May 2022 |
| CHEN Zhenhong 陳禎泓 | RE | 9 | 08 September 2021 | 20 May 2022 |
| CHENG Chor Ki 鄭礎祺 | RE | 4 | 24 June 2003 | 14 March 2005 |
| CHEUNG Cheuk Leung, Felix 張焯樑 | RE | 4 | 24 March 2004 | 29 April 2004 |
| CHEUNG Ka Ho, Kevin 張家豪 | RE | 4 | 12 February 2007 | 27 July 2007 |
| CHEUNG Wai Ching, Vancy 張慧菁 | RE | 4 | 23 August 2007 | 13 July 2008 |
| CHEUNG Wai Yin 張緯賢 | RO | 9 | 29 July 2016 | 16 October 2019 |
| CHEUNG Wai Yin 張緯賢 | RO | 4 | 23 March 2016 | 16 October 2019 |
| CHEUNG Wai Yin 張緯賢 | RE | 9 | 08 January 2016 | 29 July 2016 |
| CHEUNG Wai Yin 張緯賢 | RE | 4 | 08 January 2016 | 23 March 2016 |
| CHIN Chi Kui 錢智駒 | RE | 9 | 05 May 2010 | 01 July 2011 |
| CHING Yung Fai 程容輝 | RE | 9 | 16 February 2015 | 31 December 2015 |
| CHOI Pok Man 蔡博汶 | RE | 9 | 06 January 2014 | 19 November 2014 |
| CHOI Sheung Hang 蔡尚衡 | RE | 4 | 03 December 2010 | 18 May 2011 |
| CHOI Sheung Hang 蔡尚衡 | RE | 9 | 02 March 2010 | 18 May 2011 |
| CHONG Ching 莊正 | RE | 9 | 12 December 2013 | 18 January 2020 |
| CHOW Wai Man, Ronny 周偉民 | RE | 9 | 06 July 2011 | 10 November 2011 |
| CHOW Wai Tat, Eric 鄒偉達 | RO | 4 | 04 November 2003 | 27 June 2004 |
| CHOW Yin Shan 周燕珊 | RE | 4 | 17 October 2003 | 01 July 2013 |
| CHOY Chak Wai 蔡澤偉 | RE | 4 | 09 March 2007 | 21 October 2008 |
| CHU Wai Chau 朱緯洲 | RE | 4 | 10 January 2007 | 07 February 2007 |
| CHUA Tsz Lan 蔡紫蘭 | RO | 4 | 15 December 2009 | 13 August 2010 |
| CHUA Tsz Lan 蔡紫蘭 | RO | 9 | 15 December 2009 | 13 August 2010 |
| CHUA Tsz Lan 蔡紫蘭 | RE | 4 | 30 September 2009 | 15 December 2009 |
| CHUA Tsz Lan 蔡紫蘭 | RE | 9 | 30 September 2009 | 15 December 2009 |
| CHUI Man Nga 崔雯雅 | RE | 4 | 06 May 2009 | 02 January 2012 |
| CHUNG Lai Sze, Sandy 鍾麗詩 | RE | 4 | 01 April 2003 | 14 August 2006 |
| FAN Suet Heung Fanny 范雪香 | RE | 4 | 04 March 2010 | 27 January 2011 |
| FENG Yibiao 馮一飆 | RE | 9 | 08 June 2017 | 11 November 2019 |
| FUNG Hoi 馮凱 | RE | 4 | 29 June 2005 | 16 January 2006 |
| FUNG Kin Wing 馮鍵嶸 | RE | 4 | 18 September 2006 | 13 May 2007 |
| FUNG Sze Lung | RE | 9 | 28 July 2021 | 20 July 2022 |
| FUNG Sze Yu 馮時裕 | RO | 9 | 03 September 2020 | 23 December 2022 |
| FUNG Sze Yu 馮時裕 | RO | 4 | 03 September 2020 | 23 December 2022 |
| FUNG Sze Yu 馮時裕 | RE | 9 | 12 March 2014 | 03 September 2020 |
| HO Wai Wan, Vivien 何慧韻 | RE | 4 | 14 December 2009 | 03 July 2010 |
| IP Pui Lan 葉佩蘭 | RE | 4 | 24 September 2003 | 20 May 2005 |
| KAM Chun Wah, Dickson 甘鎮華 | RE | 4 | 20 March 2006 | 08 January 2007 |
| KOO Kit Yi 古潔儀 | RE | 4 | 05 September 2007 | 14 January 2008 |
| KOO Kit Yi 古潔儀 | RE | 4 | 06 February 2007 | 02 March 2007 |
| KUNG Wai Ting 龔偉廷 | RO | 9 | 29 September 2016 | 14 March 2019 |
| KUNG Wai Ting 龔偉廷 | RE | 9 | 26 July 2016 | 29 September 2016 |
| KWOK Chee King, Stephen 郭子敬 | RE | 4 | 23 October 2003 | 14 March 2005 |
| KWOK Ka Yiu 郭家耀 | RE | 4 | 18 April 2005 | 03 August 2009 |
| KWOK Shiu Man 郭兆文 | RO | 9 | 29 May 2012 | 22 October 2012 |
| KWOK Tsz Chung 郭子聰 | RE | 4 | 30 December 2009 | 18 June 2010 |
| LAI Chun Wing 賴雋永 | RE | 9 | 02 March 2009 | 20 August 2009 |
| LAI Chun Wing 賴雋永 | RE | 4 | 02 March 2009 | 20 August 2009 |
| LAI Yu Ling 黎悅怜 | RE | 4 | 29 January 2007 | 02 March 2007 |
| LAM Che Chung, Dennis 林志聰 | RO | 4 | 24 December 2010 | 09 August 2012 |
| LAM Che Chung, Dennis 林志聰 | RO | 9 | 18 December 2008 | 09 August 2012 |
| LAM Choi Ying, Mandy 林賽盈 | RE | 4 | 30 April 2004 | 01 February 2009 |
| LAM Sheung Lai 林尚禮 | RE | 4 | 24 September 2007 | 08 November 2007 |
| LAU Ka Fung Adrian 劉家灃 | RE | 9 | 19 May 2016 | 20 May 2017 |
| LAU Ka Fung Adrian 劉家灃 | RE | 4 | 19 May 2016 | 20 May 2017 |
| LAU Kwok Kuen, Richard 劉國權 | RE | 4 | 20 December 2006 | 14 March 2007 |
| LAU Sze Ming 劉思明 | RE | 4 | 01 April 2003 | 21 September 2004 |
| LAU Yim Ling, Elaine 劉艷玲 | RE | 4 | 23 January 2008 | 04 September 2018 |
| LEE Chi Wing 李之穎 | RE | 4 | 20 December 2006 | 06 August 2007 |
| LEE Ching Wah, Peter 李清華 | RE | 4 | 16 July 2003 | 08 September 2003 |
| LEE Hung Kwong 李鴻光 | RE | 4 | 21 March 2007 | 01 June 2008 |
| LEE Kwok Wan 李冠潤 | RE | 9 | 10 January 2013 | 31 December 2013 |
| LEE Po Chu 李寶珠 | RE | 4 | 03 December 2010 | 09 May 2011 |
| LEE Po Chu 李寶珠 | RE | 9 | 10 August 2009 | 09 May 2011 |
| LEE Tat Yuen 李達源 | RE | 4 | 31 May 2004 | 04 January 2006 |
| LEE Wai Yip 李偉業 | RE | 4 | 09 June 2006 | 30 January 2007 |
| LEE Yeuk Yu Ross 李若愚 | RE | 9 | 29 May 2012 | 12 January 2013 |
| LEE Yiu Keung 李耀强 | RE | 9 | 28 July 2020 | 20 August 2022 |
| LEE Yiu Keung 李耀强 | RE | 4 | 28 July 2020 | 20 August 2022 |
| LEUNG Hang Tung 梁幸彤 | RE | 9 | 25 October 2023 | |
| LEUNG Hang Tung 梁幸彤 | RE | 4 | 25 October 2023 | |
| LI Hon Wai Anthony 李漢威 | RE | 9 | 17 June 2010 | 26 September 2013 |
| LI Shing 李誠 | RE | 4 | 14 July 2004 | 10 November 2004 |
| LIANG Hao 梁昊 | RO | 4 | 24 July 2019 | 21 July 2022 |
| LIANG Hao 梁昊 | RO | 9 | 20 July 2018 | 21 July 2022 |
| LIANG Hao 梁昊 | RE | 9 | 24 May 2016 | 20 July 2018 |
| LIN Peng 林芃 | RO | 9 | 29 June 2012 | 09 April 2017 |
| LIN Peng 林芃 | RE | 9 | 19 December 2011 | 29 June 2012 |
| LIU Ka Po 廖嘉寶 | RE | 4 | 03 February 2007 | 29 December 2007 |
| LIU Xiaoquan 劉曉全 | RE | 9 | 04 October 2016 | 20 August 2017 |
| LOK Wan Wai, Sam 駱穩威 | RE | 9 | 16 August 2011 | 15 December 2011 |
| LONG Jieling 龍杰靈 | RO | 9 | 20 January 2023 | 13 November 2023 |
| LONG Jieling 龍杰靈 | RO | 4 | 27 July 2022 | 13 November 2023 |
| LONG Jieling 龍杰靈 | RE | 9 | 27 July 2022 | 20 January 2023 |
| MA Chengjunyi 馬程俊譯 | RO | 9 | 19 July 2021 | 01 July 2022 |
| MA Chengjunyi 馬程俊譯 | RO | 4 | 19 July 2021 | 01 July 2022 |
| MA Chengjunyi 馬程俊譯 | RE | 9 | 27 April 2021 | 19 July 2021 |
| MA Chengjunyi 馬程俊譯 | RE | 4 | 27 April 2021 | 19 July 2021 |
| MA Chin Man 馬展文 | RE | 4 | 09 January 2007 | 19 January 2007 |
| MA Cho Hong 馬祖匡 | RE | 4 | 27 March 2006 | 09 February 2007 |
| MOK Kit Ling 莫潔玲 | RE | 4 | 13 April 2005 | 07 August 2006 |
| NG Hon Ki, Burgess 吳漢基 | RE | 4 | 05 December 2007 | 20 December 2007 |
| NG Hon Ki, Burgess 吳漢基 | RO | 4 | 20 December 2007 | 22 January 2009 |
| NG Sing Hing 伍承興 | RE | 4 | 18 January 2010 | 01 June 2018 |
| NIP Yiu Chuen 聶耀泉 | RO | 4 | 18 July 2016 | 25 January 2021 |
| NIP Yiu Chuen 聶耀泉 | RO | 9 | 01 August 2011 | 25 January 2021 |
| NIU Xiao 牛筱 | RE | 9 | 08 June 2017 | 28 December 2020 |
| PAN Wenang 潘文昂 | RE | 9 | 09 November 2017 | 28 July 2020 |
| PANG Ching Lok 彭正樂 | RE | 4 | 16 April 2003 | 17 July 2003 |
| PAO Lik 鮑力 | RO | 9 | 15 March 2012 | 21 March 2016 |
| PAO Lik 鮑力 | RO | 4 | 18 March 2009 | 21 March 2016 |
| PAO Lik 鮑力 | RE | 4 | 20 December 2007 | 18 March 2009 |
| POON Chi Wai 潘志偉 | RE | 4 | 01 April 2003 | 02 May 2004 |
| POON Lung Sang 潘龍生 | RE | 4 | 09 February 2004 | 03 May 2004 |
| POON Mung Yu 潘夢如 | RO | 9 | 05 October 2010 | 01 August 2011 |
| POON Mung Yu 潘夢如 | RO | 4 | 05 October 2010 | 01 August 2011 |
| PUN Hau Wai 潘巧惠 | RE | 4 | 23 March 2006 | 14 June 2006 |
| PUN Tit Shan 潘鐵珊 | RO | 4 | 21 September 2004 | 01 January 2008 |
| SIU Wai Wai, William 蕭衛威 | RE | 9 | 03 February 2012 | 10 July 2012 |
| SUN Hui 孫慧 | RE | 9 | 03 July 2017 | 31 October 2021 |
| SUNG Yuk Yin 宋煜賢 | RE | 4 | 21 December 2009 | 19 May 2010 |
| SZE Chun Wai 施俊威 | RE | 9 | 21 December 2010 | 23 August 2011 |
| TAKEI Akio | RE | 9 | 01 November 2012 | 30 June 2015 |
| TAM Hin Fai 譚顯輝 | RE | 4 | 03 November 2006 | 03 January 2007 |
| TAM Ho Kei 譚浩基 | RE | 9 | 09 March 2015 | 02 February 2016 |
| TAM Kin San 譚建新 | RE | 4 | 28 July 2004 | 13 July 2006 |
| TAM King Ho, Howard 譚景豪 | RO | 9 | 14 September 2012 | 26 February 2014 |
| TAM King Ho, Howard 譚景豪 | RO | 4 | 14 September 2012 | 26 February 2014 |
| TANG Davina Tak-wai 鄧德慧 | RO | 9 | 20 July 2012 | 18 October 2012 |
| TANG Ping Sum 鄧炳森 | RO | 9 | 20 March 2009 | 12 June 2009 |
| TANG Ping Sum 鄧炳森 | RO | 4 | 20 March 2009 | 12 June 2009 |
| TONG Shing, Johnson 唐誠 | RO | 9 | 03 September 2020 | 08 April 2021 |
| TONG Shing, Johnson 唐誠 | RO | 4 | 03 September 2020 | |
| TONG Shing, Johnson 唐誠 | RE | 9 | 30 December 2013 | 03 September 2020 |
| TONG Shing, Johnson 唐誠 | RE | 4 | 16 January 2007 | 16 July 2007 |
| TONG Shing, Johnson 唐誠 | RE | 4 | 12 December 2007 | 20 January 2009 |
| TSANG Chi Yuen 曾志遠 | RE | 4 | 26 October 2017 | 30 June 2019 |
| TSANG Chi Yuen 曾志遠 | RE | 9 | 26 October 2017 | 30 June 2019 |
| TSANG Long 曾朗 | RE | 4 | 09 October 2009 | 18 June 2010 |
| TSE Ka Chun 謝家俊 | RE | 4 | 21 November 2003 | 22 December 2003 |
| TSOI Yuen Hoi 蔡元開 | RE | 4 | 18 December 2003 | 04 February 2005 |
| TSUI Ching Wan 徐青雲 | RE | 4 | 12 July 2007 | 02 February 2008 |
| TSUI Randy 徐熙瑜 | RO | 9 | 05 May 2023 | |
| TSUI Randy 徐熙瑜 | RO | 4 | 05 May 2023 | |
| WAN Sau Yi 尹秀儀 | RO | 9 | 03 November 2023 | |
| WAN Sau Yi 尹秀儀 | RO | 4 | 03 November 2023 | |
| WAN Sau Yi 尹秀儀 | RE | 9 | 25 October 2023 | 03 November 2023 |
| WAN Sau Yi 尹秀儀 | RE | 4 | 25 October 2023 | 03 November 2023 |
| WANG Huangji 王煌基 | RO | 9 | 20 July 2022 | 22 May 2023 |
| WANG Huangji 王煌基 | RO | 4 | 20 July 2022 | 22 May 2023 |
| WONG Chi Yeung, Jackson 黃志陽 | RE | 9 | 17 September 2013 | 31 August 2014 |
| WONG Chin Pang, Kenneth 黃展鵬 | RE | 4 | 24 June 2003 | 14 March 2005 |
| WONG Ho Chuen 黃浩全 | RE | 4 | 18 January 2010 | 01 March 2011 |
| WONG Long Sau, Ivis 黃朗修 | RE | 9 | 21 September 2009 | 28 January 2011 |
| WONG Long Sau, Ivis 黃朗修 | RE | 4 | 21 September 2009 | 28 January 2011 |
| WONG Yee Hing 黃綺卿 | RO | 4 | 24 February 2006 | 01 June 2006 |
| XIONG Ying 熊英 | RE | 9 | 24 May 2016 | 14 October 2017 |
| XIONG Ying 熊英 | RE | 4 | 24 May 2016 | 14 October 2017 |
| XU Yachuan 徐亞川 | RE | 9 | 24 May 2016 | 06 June 2019 |
| XU Yachuan 徐亞川 | RE | 4 | 24 May 2016 | 06 June 2019 |
| YEUNG Ching 楊靜 | RE | 4 | 21 April 2005 | 30 December 2011 |
| YEUNG Fung Yee, Flora 楊鳳儀 | RE | 9 | 02 September 2013 | 18 July 2022 |
| YEUNG Man Choi 楊文彩 | RE | 4 | 17 January 2007 | 23 January 2007 |
| YING Chien Huang 英建煌 | RE | 4 | 24 March 2006 | 06 March 2008 |
| YIP Lai Mei 葉麗薇 | RE | 4 | 01 April 2003 | 14 March 2005 |
| YIU Kwing Sum 姚炯深 | RE | 4 | 12 October 2006 | 01 December 2006 |
| YU Chunyan 俞春燕 | RE | 9 | 28 July 2020 | 04 February 2021 |
| YU Shiu Hang 余兆衡 | RE | 4 | 17 April 2009 | 31 October 2009 |
| YUE Wing Man 俞穎文 | RE | 4 | 28 November 2006 | 07 February 2008 |
| ZHANG Sirui 張思睿 | RE | 9 | 30 March 2020 | 04 December 2020 |
| ZHENG Binbin 鄭彬彬 | RE | 9 | 05 October 2021 | 30 July 2022 |
| ZHENG Binbin 鄭彬彬 | RE | 4 | 05 October 2021 | 30 July 2022 |