SFC Licenceholders of Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司

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
CHAI Wei Yen 蔡威燕 RE 6 16 May 2016 23 April 2018
CHAI Wei Yen 蔡威燕 RE 1 16 May 2016 23 April 2018
CHAN Chung Hin 陳頌軒 RE 1 31 March 2016 02 November 2016
CHAN Chung Hin 陳頌軒 RE 6 31 March 2016 02 November 2016
CHAN Chung Hin 陳頌軒 RO 6 02 November 2016 16 August 2021
CHAN Chung Hin 陳頌軒 RO 1 02 November 2016 16 August 2021
CHAN Hoi Lam 陳鎧霖 RE 6 06 April 2023
CHAN Justin Sano 陳生樂 RE 6 27 October 2010 02 April 2011
CHAN Justin Sano 陳生樂 RE 1 27 October 2010 02 April 2011
CHAN Suet Ying 陳雪瑩 RE 1 02 February 2010 16 June 2010
CHAN Suet Ying 陳雪瑩 RE 6 02 February 2010 16 June 2010
CHAN Wai Kit, Andy 陳偉傑 RO 6 11 December 2006 09 June 2014
CHAN Wai Kit, Andy 陳偉傑 RO 1 11 December 2006 09 June 2014
CHAN Wai Kit, Andy 陳偉傑 RE 1 20 September 2006 11 December 2006
CHAN Wai Kit, Andy 陳偉傑 RE 6 31 August 2006 11 December 2006
CHAN Yu Wai 陳宇威 RE 6 06 August 2004 04 May 2007
CHAN Yu Wai 陳宇威 RE 1 06 August 2004 04 May 2007
CHEN Cheng 陳誠 RE 6 15 June 2016 03 March 2017
CHEN Cheng 陳誠 RE 1 15 June 2016 03 March 2017
CHEN Peijie 陳佩婕 RE 6 15 November 2018 21 January 2019
CHENG Jie 程劼 RO 6 24 September 2020 29 March 2022
CHENG Xiaomin 程晓敏 RE 1 23 September 2016 23 June 2021
CHENG Xiaomin 程晓敏 RE 6 11 August 2016 23 June 2021
CHEUNG Chi Long 張子朗 RE 6 30 December 2011 20 June 2013
CHEUNG Chi Long 張子朗 RE 1 30 December 2011 20 June 2013
CHEUNG Po Kuen, Michael 張寶權 RE 6 06 October 2004 29 December 2004
CHEUNG Tsz Hin, Aidan 張子軒 RE 6 15 October 2021 09 December 2021
CHEUNG Victor Chor Keung 張楚強 RO 6 20 August 2014 09 March 2015
CHEUNG Yin Ling 張賢寧 RO 6 02 September 2014 21 August 2015
CHIANG Ka Chun 蔣嘉駿 RE 6 28 June 2018 24 January 2019
CHIANG Ka Chun 蔣嘉駿 RE 1 28 June 2018 24 January 2019
CHOI Hei Ting 蔡曦婷 RE 6 28 March 2024
CHOW Tsz Kit, Vincent 周子傑 RE 1 02 July 2021 14 February 2023
CHOW Tsz Kit, Vincent 周子傑 RE 6 02 July 2021 14 February 2023
CHU Ka Siu 朱嘉兆 RE 1 13 July 2016 12 January 2020
CHU Ka Siu 朱嘉兆 RE 6 20 June 2016 12 January 2020
CHUNG Wai 鍾尉 RO 1 06 December 2010 01 May 2012
CHUNG Wai 鍾尉 RO 6 14 July 2010 01 May 2012
CHUNG Wai 鍾尉 RE 1 01 June 2010 06 December 2010
CHUNG Wai 鍾尉 RE 6 01 June 2010 14 July 2010
CHUNG Yan Hei 鍾欣熹 RE 1 18 March 2013 26 March 2014
CHUNG Yan Hei 鍾欣熹 RE 6 18 March 2013 26 March 2014
CUI Ran 崔然 RE 6 23 October 2014 08 April 2018
CUI Ran 崔然 RE 1 23 October 2014 08 April 2018
GAO Xiaoshan 高小杉 RE 6 18 June 2015 27 May 2016
GAO Xiaoshan 高小杉 RE 1 22 May 2015 27 May 2016
GAO Xiong 高雄 RE 6 22 October 2018 07 August 2020
GAO Xiong 高雄 RE 1 22 October 2018 07 August 2020
HAI Yangguangyi 海楊广益 RE 1 01 June 2020 22 August 2021
HAI Yangguangyi 海楊广益 RE 6 18 May 2020 22 August 2021
HO Leung Ting 何亮霆 RE 6 11 July 2023 26 February 2024
HO Lok Yan 何樂昕 RE 6 29 May 2006 24 January 2007
HO Lok Yan 何樂昕 RE 1 29 May 2006 24 January 2007
HOW Sze Ming 侯思明 RO 6 28 April 2016 30 August 2021
HOW Sze Ming 侯思明 RO 1 28 April 2016 30 August 2021
HOW Sze Ming 侯思明 RE 1 14 March 2016 28 April 2016
HOW Sze Ming 侯思明 RE 6 14 March 2016 28 April 2016
HUANG Yun Tong 黃蘊彤 RE 1 13 September 2017 24 January 2019
HUANG Yun Tong 黃蘊彤 RE 6 13 September 2017 24 January 2019
HUANG Yuting 黃玉婷 RE 1 30 March 2022 13 February 2023
HUANG Yuting 黃玉婷 RE 6 30 March 2022 13 February 2023
KO Ying, Christine 高英 RE 6 13 May 2011 12 June 2014
KO Ying, Christine 高英 RE 1 13 May 2011 12 June 2014
KWAN Hoi Wang 關開宏 RO 1 19 February 2009 23 April 2010
KWAN Hoi Wang 關開宏 RO 6 19 February 2009 23 April 2010
KWOK Wing Yuet 郭永悅 RE 6 18 September 2020 15 September 2021
KWOK Wing Yuet 郭永悅 RE 1 18 September 2020 15 September 2021
LAM Choi Wan 林彩雲 RO 1 27 May 2020 01 July 2022
LAM Choi Wan 林彩雲 RE 6 16 March 2020 01 July 2022
LAM Choi Wan 林彩雲 RE 1 16 March 2020 27 May 2020
LAM Long Hin, Hiram 林朗軒 RE 6 09 December 2014 15 December 2015
LAM Long Hin, Hiram 林朗軒 RE 1 09 December 2014 15 December 2015
LAM Suk Yee, Martha 林淑儀 RE 1 28 January 2011 01 May 2012
LAM Suk Yee, Martha 林淑儀 RE 6 28 January 2011 01 May 2012
LAU Pak Sun 劉栢燊 RO 1 26 May 2020 03 October 2022
LAU Pak Sun 劉栢燊 RE 6 16 March 2020 03 October 2022
LAU Pak Sun 劉栢燊 RE 1 16 March 2020 26 May 2020
LAU Yan Ki 劉欣琪 RE 1 25 September 2017 15 August 2021
LAU Yan Ki 劉欣琪 RE 6 25 September 2017 15 August 2021
LEE Yiu Chung, Alan 李耀宗 RO 6 20 September 2012 12 June 2014
LEE Yiu Chung, Alan 李耀宗 RO 1 20 September 2012 12 June 2014
LEE Yiu Chung, Alan 李耀宗 RE 6 16 May 2011 20 September 2012
LEE Yiu Chung, Alan 李耀宗 RE 1 16 May 2011 20 September 2012
LEUNG Yin Fai 梁燕煇 RE 1 08 March 2018 22 November 2019
LEUNG Yin Fai 梁燕煇 RE 6 08 March 2018 22 November 2019
LI Junyi 李俊儀 RE 6 26 May 2015 19 January 2019
LI Junyi 李俊儀 RE 1 26 May 2015 19 January 2019
LI Wai Kuen 李惠娟 RO 1 01 April 2003 18 July 2014
LI Wai Kuen 李惠娟 RO 6 01 April 2003 18 July 2014
LI Zhengrong 李崢嶸 RE 6 04 September 2014 24 April 2015
LI Zhengrong 李崢嶸 RO 6 24 April 2015 31 October 2015
LIN Shanshan 林姍姍 RE 1 26 February 2016 23 March 2017
LIN Shanshan 林姍姍 RE 6 26 February 2016 23 March 2017
LIU Ningyuan 劉宁遠 RE 1 05 November 2021 15 February 2023
LIU Ningyuan 劉宁遠 RE 6 05 November 2021 15 February 2023
LO Chi Leung 盧志良 RE 6 04 February 2016 29 February 2016
LO Chung Ho, Philip 盧頌濠 RE 6 25 July 2011 08 June 2014
LO Chung Ho, Philip 盧頌濠 RE 1 25 July 2011 08 June 2014
LO Hei Tung 羅曦彤 RE 1 15 November 2017 05 April 2020
LO Hei Tung 羅曦彤 RE 6 15 November 2017 05 April 2020
LO Hiu Tung, Karen 勞曉彤 RE 1 17 May 2011 29 July 2011
LO Hiu Tung, Karen 勞曉彤 RE 6 17 May 2011 29 July 2011
LO Wing Shing, Steven 盧永成 RO 1 21 July 2016 31 January 2023
LO Wing Shing, Steven 盧永成 RO 6 12 February 2016 31 January 2023
LO Wing Shing, Steven 盧永成 RE 1 12 February 2016 21 July 2016
LUI Tak Yan 呂德仁 RO 1 16 January 2015 16 December 2015
LUI Tak Yan 呂德仁 RO 6 16 January 2015 16 December 2015
LUI Tak Yan 呂德仁 RE 1 06 January 2015 16 January 2015
LUI Tak Yan 呂德仁 RE 6 06 January 2015 16 January 2015
LUO Yi 羅毅 RO 6 26 March 2015 27 February 2019
MAK Kwok Kei 麥國基 RE 6 10 July 2018 09 January 2019
MAK Kwok Kei 麥國基 RE 1 10 July 2018 09 January 2019
MOU Yang 牟洋 RE 1 15 July 2016 20 April 2018
MOU Yang 牟洋 RE 6 15 July 2016 20 April 2018
MUNG Chi Kin 蒙賜健 RE 1 09 May 2008 18 April 2011
MUNG Chi Kin 蒙賜健 RE 6 14 March 2007 18 April 2011
NG Cheng Kiong 黃貞強 RE 6 08 April 2016 01 March 2018
NG Cheng Kiong 黃貞強 RE 1 12 October 2015 01 March 2018
NG Geoffrey Junxiong 吳駿雄 RE 1 05 June 2018 10 May 2020
NG Geoffrey Junxiong 吳駿雄 RE 6 05 June 2018 10 May 2020
NG Kin Kwan 吳建群 RE 1 14 June 2017 28 August 2020
NG Kin Kwan 吳建群 RE 6 14 June 2017 28 August 2020
NG Wing Fai 吳永輝 RO 1 22 November 2017 10 February 2020
NG Wing Fai 吳永輝 RE 1 07 July 2017 22 November 2017
NG Wing Fai 吳永輝 RE 6 07 July 2017 10 February 2020
NG Wing Sang 吳榮燊 RO 6 22 November 2018 30 September 2022
NG Wing Sang 吳榮燊 RE 6 12 August 2016 22 November 2018
NG Wing Sang 吳榮燊 RE 1 12 August 2016 30 September 2022
NG Ying Kit 吳映吉 RE 6 04 February 2009 01 April 2011
NG Ying Kit 吳映吉 RE 1 04 February 2009 01 April 2011
NG Ying Kit 吳映吉 RE 6 08 January 2007 22 February 2007
NG Ying Kit 吳映吉 RE 1 08 January 2007 22 February 2007
PAK Hiu Ching 白曉青 RE 6 30 September 2004 14 July 2006
PAK Hiu Ching 白曉青 RE 1 30 September 2004 14 July 2006
PAN Jiao 潘姣 RE 1 15 November 2016 15 October 2019
PAN Jiao 潘姣 RE 6 15 November 2016 15 October 2019
PENG Chen 彭辰 RE 6 14 September 2012 08 December 2012
POON Tai Cheung 潘泰章 RE 6 23 June 2008 01 March 2010
POON Tai Cheung 潘泰章 RE 1 23 June 2008 01 March 2010
QIU Qingzi 仇慶子 RE 6 12 March 2019 28 September 2021
QIU Qingzi 仇慶子 RE 1 12 March 2019 28 September 2021
SIT Kar Kin, Kenneth 薛家鍵 RO 6 10 June 2003 28 January 2007
SIT Kar Kin, Kenneth 薛家鍵 RO 1 10 June 2003 28 January 2007
SIU Wai Kit 蕭偉杰 RE 6 29 July 2003 15 September 2004
SIU Wai Kit 蕭偉杰 RE 1 29 July 2003 15 September 2004
SONG Yuxi 宋禹熹 RE 1 04 November 2013 14 June 2014
SONG Yuxi 宋禹熹 RE 6 21 October 2013 14 June 2014
SUN Chuen Wah, Anthony 孫村華 RE 1 31 March 2015 28 May 2015
SUN Chuen Wah, Anthony 孫村華 RO 1 28 May 2015 15 March 2016
SUN Chuen Wah, Anthony 孫村華 RE 6 31 March 2015 15 March 2016
SUN Lianghao 孫梁浩 RE 1 27 April 2015 27 April 2016
SUN Lianghao 孫梁浩 RE 6 27 April 2015 27 April 2016
SUN Peilun 孫培倫 RE 6 20 June 2018 27 February 2021
SUN Peilun 孫培倫 RE 1 20 June 2018 27 February 2021
SUNG Pui Yu 宋沛榆 RE 6 16 February 2011 31 October 2011
TAM Yui Chit Jeffrey 譚睿哲 RO 1 13 October 2022 31 January 2023
TAM Yui Chit Jeffrey 譚睿哲 RE 6 13 October 2022 31 January 2023
TAM Yui Chit Jeffrey 譚睿哲 RE 1 27 September 2022 13 October 2022
TANG Chin Kit 鄧展杰 RE 1 30 June 2021 06 January 2023
TANG Chin Kit 鄧展杰 RE 6 30 June 2021 06 January 2023
TANG Ping Sum 鄧炳森 RO 6 20 March 2009 12 June 2009
TANG Ping Sum 鄧炳森 RO 1 20 March 2009 12 June 2009
TANG Ping Sum 鄧炳森 RE 1 05 January 2009 20 March 2009
TANG Wing Him 鄧穎謙 RE 1 09 July 2018 05 April 2019
TANG Wing Him 鄧穎謙 RE 6 09 July 2018 05 April 2019
TSANG Hei Ho, Keith 曾希豪 RO 6 22 May 2009 28 January 2011
TSANG Hei Ho, Keith 曾希豪 RE 1 25 March 2009 28 January 2011
TSANG Hei Ho, Keith 曾希豪 RE 6 25 March 2009 22 May 2009
TSE Cho Wan 謝棗韻 RE 1 30 March 2015 28 April 2016
TSE Cho Wan 謝棗韻 RE 6 30 March 2015 28 April 2016
TSE Kwok On 謝國安 RO 1 22 November 2017 09 March 2020
TSE Kwok On 謝國安 RE 6 29 May 2017 09 March 2020
TSE Kwok On 謝國安 RE 1 29 May 2017 22 November 2017
TSOI Shan Shan 蔡柵柵 RE 1 26 July 2022 03 November 2022
TSOI Shan Shan 蔡柵柵 RE 6 26 July 2022 03 November 2022
WAN Joseph Jason 尹宸賢 RE 1 08 December 2014 09 January 2015
WAN Joseph Jason 尹宸賢 RO 1 09 January 2015 15 February 2016
WAN Joseph Jason 尹宸賢 RE 6 08 December 2014 09 January 2015
WAN Joseph Jason 尹宸賢 RO 6 09 January 2015 15 February 2016
WANG Ao 王奧 RE 6 21 March 2016 24 August 2017
WANG Ao 王奧 RE 1 04 January 2016 24 August 2017
WANG Kaixu 王凱旭 RE 6 24 April 2020 07 May 2021
WANG Kaixu 王凱旭 RE 1 24 April 2020 07 May 2021
WONG Chak Sang 王澤生 RO 6 25 April 2023
WONG Chun Wa 黃春華 RE 6 01 April 2003 23 March 2005
WONG Chun Wa 黃春華 RE 1 01 April 2003 23 March 2005
WONG Ho Fung 黃浩峰 RE 1 15 September 2021 31 January 2023
WONG Ho Fung 黃浩峰 RE 6 03 September 2021 31 January 2023
WONG King Ho, Pakern 黃敬皓 RE 1 29 October 2015 02 May 2018
WONG King Ho, Pakern 黃敬皓 RE 6 29 October 2015 02 May 2018
WONG Long Sau, Ivis 黃朗修 RE 6 21 September 2009 28 January 2011
WONG Mei Ying, Jenny 黃美盈 RE 6 16 December 2014 26 November 2015
WONG Mei Ying, Jenny 黃美盈 RE 1 16 December 2014 26 November 2015
WONG Tsz Ying 王子盈 RO 6 23 March 2021 15 October 2021
WONG Tsz Ying 王子盈 RE 1 27 December 2017 15 October 2021
WONG Tsz Ying 王子盈 RE 6 27 December 2017 23 March 2021
XIAO Peiwei 肖培煒 RE 6 06 November 2020 02 February 2021
XIAO Peiwei 肖培煒 RE 1 06 November 2020 02 February 2021
XIE Xinxin 謝心馨 RE 1 28 September 2017 17 April 2020
XIE Xinxin 謝心馨 RE 6 28 September 2017 17 April 2020
XU Di 許迪 RE 6 14 January 2016 12 December 2016
YEUNG Yiu Wah, Francis 楊耀華 RO 6 25 October 2004 27 January 2005
YEUNG Yiu Wah, Francis 楊耀華 RO 1 25 October 2004 27 January 2005
YEUNG Yiu Wah, Francis 楊耀華 RE 6 04 October 2004 25 October 2004
YEUNG Yiu Wah, Francis 楊耀華 RE 1 04 October 2004 25 October 2004
YING Chi Kwan 邢紫君 RO 6 21 September 2022 14 March 2023
YING Chi Kwan 邢紫君 RE 1 21 September 2022 14 March 2023
YING Chi Kwan 邢紫君 RE 6 16 August 2022 21 September 2022
YING Yan Kei 應仁基 RE 1 08 January 2015 05 January 2016
YING Yan Kei 應仁基 RO 6 23 December 2014 25 July 2017
YING Yan Kei 應仁基 RO 1 05 January 2016 25 July 2017
YING Yan Kei 應仁基 RE 6 13 November 2014 23 December 2014
YIP Shek Hung 葉錫洪 RE 1 19 May 2005 26 April 2006
YIP Shek Hung 葉錫洪 RE 6 21 April 2005 26 April 2006
YIU Chung Him Benjamin 姚仲謙 RE 1 08 May 2015 26 November 2015
YIU Chung Him Benjamin 姚仲謙 RE 6 08 May 2015 26 November 2015
YU Tsz Kam 余子淦 RE 1 06 April 2017 13 December 2019
YUEN Chi Tsun, Ronnie 阮子瑨 RO 6 27 February 2023
YUEN Chi Tsun, Ronnie 阮子瑨 RE 6 17 February 2023 27 February 2023
ZHAN Juli 詹居里 RE 6 10 September 2015 27 August 2017
ZHAN Juli 詹居里 RE 1 10 September 2015 27 August 2017
ZHANG Senquan 張森泉 RE 1 15 April 2016 30 June 2017
ZHANG Senquan 張森泉 RE 6 15 April 2016 30 June 2017
ZHANG Sirui 張思睿 RE 6 01 February 2021 04 June 2021
ZHANG Sirui 張思睿 RE 1 01 February 2021 04 June 2021
ZHAO Tao 趙濤 RE 1 30 May 2016 22 November 2016
ZHAO Tao 趙濤 RE 6 30 May 2016 31 May 2017
ZHAO Tao 趙濤 RO 1 22 November 2016 31 May 2017
ZOU Mengtong 鄒梦桐 RE 6 25 June 2018 23 September 2020
ZOU Mengtong 鄒梦桐 RE 1 25 June 2018 23 September 2020