SFC Licences of TONG Shing, Johnson 唐誠

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

Institution Role Licences Start date End date
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RO 9 03 September 2020 08 April 2021
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RO 4 03 September 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RO 4 03 September 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RO 1 20 April 2017
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 RO 2 20 April 2017
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RE 9 30 December 2013 03 September 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 4 16 July 2012 03 September 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 1 12 December 2007 20 April 2017
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 RE 2 12 December 2007 20 April 2017
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RE 4 12 December 2007 20 January 2009
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RE 4 16 January 2007 16 July 2007
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 RE 2 20 October 2006 16 July 2007
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 1 20 October 2006 16 July 2007