SFC Licences of SZE Chun Wai 施俊威

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Tianda Securities Limited 天大証券有限公司 RE 2 29 August 2011 03 September 2013
Tianda Securities Limited 天大証券有限公司 RE 1 29 August 2011 03 September 2013
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RE 9 21 December 2010 23 August 2011
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 4 26 November 2010 23 August 2011
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 1 26 November 2010 23 August 2011
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 RE 2 26 November 2010 23 August 2011
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 2 03 November 2008 06 November 2010
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 1 05 October 2007 06 November 2010
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 4 06 September 2007 06 November 2010
Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 RE 9 24 January 2006 04 June 2007
Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 RE 4 15 February 2005 04 June 2007
Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 RE 4 26 August 2004 08 November 2004