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Southwest Securities (HK) Brokerage Limited

西證(香港)證券經紀有限公司

CE No. ACB501 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Southwest Securities (HK) Brokerage Limited (西證(香港)證券經紀有限公司), CE reference ACB501. Currently licensed for regulated activity type(s) 1, 4. Current licensed staff on file: 1.

Registered address

Room 1608, 16/F, No. 26 Harbour Road, China Resources Building, Wanchai

Licence history

Activity	From	To
Type 1 — Dealing in securities	present	present
Type 4 — Advising on securities	2010-02-23	present
Type 4 — Advising on securities	present	2004-08-30
Type 6 — Advising on corporate finance	present	2004-08-30
Type 9 — Asset management	present	2004-08-30

Licensed staff (1)
As of

1 Dealing in securities 4 Advising on securities 6 Advising on corporate finance 9 Asset management

RO only

Name	Activities	Since
Johnson Shing Tong 唐誠	RO 1, 4	2020-09

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