Tong, Johnson Shing 唐誠
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2007-01-16 | 2007-07-16 | Rep | Advising on securities | 2007-12-12 | 2009-01-20 | Rep | Asset management | 2013-12-30 | 2020-09-03 | RO | Advising on securities | 2020-09-03 | RO | Asset management | 2020-09-03 | 2021-04-08 |
| 2 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2006-10-20 | 2007-07-16 | Rep | Dealing in securities | 2007-12-12 | 2017-04-20 | Rep | Advising on securities | 2012-07-16 | 2020-09-03 | RO | Dealing in securities | 2017-04-20 | RO | Advising on securities | 2020-09-03 |
| 3 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-10-20 | 2007-07-16 | Rep | Dealing in futures contracts | 2007-12-12 | 2017-04-20 | RO | Dealing in futures contracts | 2017-04-20 |
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