SFC Licenceholders of Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司

Email
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 RE 4 09 November 2010 07 April 2011
CHAN Lap Chung 陳立中 RO 9 18 December 2008 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 9 08 September 2021 20 May 2022
CHEN Zhenhong 陳禎泓 RE 4 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 9 15 December 2009 13 August 2010
CHUA Tsz Lan 蔡紫蘭 RO 4 15 December 2009 13 August 2010
CHUA Tsz Lan 蔡紫蘭 RE 9 30 September 2009 15 December 2009
CHUA Tsz Lan 蔡紫蘭 RE 4 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 RO 4 20 December 2007 22 January 2009
NG Hon Ki, Burgess 吳漢基 RE 4 05 December 2007 20 December 2007
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 12 December 2007 20 January 2009
TONG Shing, Johnson 唐誠 RE 4 16 January 2007 16 July 2007
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