Johnson Shing Tong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Johnson Shing Tong (唐誠), a licensed Responsible Officer with CE reference AOB604. Currently licensed at 3 firm(s): Southwest Securities (HK) Asset Management Limited, Southwest Securities (HK) Brokerage Limited, Southwest Securities (HK) Futures Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 19.4 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO | Type 4 - Advising on securities | 2020-09-03 | present |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 4 - Advising on securities | 2020-09-03 | present |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 - Dealing in securities | 2017-04-20 | present |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-04-20 | present |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO | Type 9 - Asset management | 2020-09-03 | 2021-04-08 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-12-30 | 2020-09-03 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 - Advising on securities | 2012-07-16 | 2020-09-03 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2007-12-12 | 2017-04-20 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-12-12 | 2017-04-20 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2007-12-12 | 2009-01-20 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2007-01-16 | 2007-07-16 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2006-10-20 | 2007-07-16 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-10-20 | 2007-07-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Johnson Shing Tong during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.