Southwest Securities (HK) Asset Management Limited
西證(香港)資產管理有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Southwest Securities (HK) Asset Management Limited (西證(香港)資產管理有限公司), a Hong Kong-based licensed corporation with CE reference AFH614. Currently licensed for regulated activity type(s) 4 — Advising on securities; 9 — Asset management. Current licensed staff on file: 1 (total recorded over time: 127). Earliest licence on file: 2008-12-18.
Registered address
Room 1608, 16th Floor, No. 26 Harbour Road, China Resources Building, Wanchai
Licence history
| Activity | From | To |
|---|---|---|
| Type 4 — Advising on securities | present | present |
| Type 9 — Asset management | 2008-12-18 | present |
Licensed staff (all-time) (127)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Lap Chung Chan 陳立中 | RO 9 Rep 4 | 2008-12 | 2011-04 |
| Lee Yeung Chan 陳利揚 | RO 4, 9 | Pre-2003 | 2016-04 |
| Wai Yin (SFC:AGY675) Cheung 張緯賢 | RO 4, 9 Rep 4, 9 | 2016-01 | 2019-10 |
| Eric Wai Tat Chow 鄒偉達 | RO 4 | 2003-11 | 2004-06 |
| Tsz Lan Chua 蔡紫蘭 | RO 4, 9 Rep 4, 9 | 2009-09 | 2010-08 |
| Wan Hin Fu 傅允軒 | RO 4, 9 | 2024-12 | 2025-02 |
| Sze Yu Fung 馮時裕 | RO 4, 9 Rep 9 | 2014-03 | 2022-12 |
| Wai Ting Kung 龔偉廷 | RO 9 Rep 9 | 2016-07 | 2019-03 |
| Shiu Man Kwok 郭兆文 | RO 9 | 2012-05 | 2012-10 |
| Dennis Che Chung Lam 林志聰 | RO 4, 9 | 2008-12 | 2012-08 |
| Hao (SFC:ATN174) Liang 梁昊 | RO 4, 9 Rep 9 | 2016-05 | 2022-07 |
| Peng Lin 林芃 | RO 9 Rep 9 | 2011-12 | 2017-04 |
| Jieling Long 龍杰靈 | RO 4, 9 Rep 9 | 2022-07 | 2023-11 |
| Chengjunyi Ma 馬程俊譯 | RO 4, 9 Rep 4, 9 | 2021-04 | 2022-07 |
| Burgess Hon Ki Ng 吳漢基 | RO 4 Rep 4 | 2007-12 | 2009-01 |
| Yiu Chuen Nip 聶耀泉 | RO 4, 9 | 2011-08 | 2021-01 |
| Lik Pao 鮑力 | RO 4, 9 Rep 4 | 2007-12 | 2016-03 |
| Mung Yu Poon 潘夢如 | RO 4, 9 | 2010-10 | 2011-08 |
| Tit Shan Pun 潘鐵珊 | RO 4 | 2004-09 | 2008-01 |
| Howard King Ho Tam 譚景豪 | RO 4, 9 | 2012-09 | 2014-02 |
| Davina Tak-Wai Tang 鄧德慧 | RO 9 | 2012-07 | 2012-10 |
| Ping Sum Tang 鄧炳森 | RO 4, 9 | 2009-03 | 2009-06 |
| Johnson Shing Tong 唐誠 | RO 4, 9 Rep 4, 9 | 2007-01 | Present |
| Randy Tsui 徐晞瑜 | RO 4, 9 | 2023-05 | 2025-03 |
| Sau Yi Wan 尹秀儀 | RO 4, 9 Rep 4, 9 | 2023-10 | 2025-01 |
| Huangji Wang 王煌基 | RO 4, 9 | 2022-07 | 2023-05 |
| Chi Ling Wong 黃志凌 | RO 4, 9 | 2025-07 | 2025-10 |
| Yee Hing Wong 黃綺卿 | RO 4 | 2006-02 | 2006-06 |
| Chi Ming Au 歐智明 | Rep 4 | 2008-08 | 2009-09 |
| Chi Shing (SFC:ABE696) Chan 陳志成 | Rep 4 | 2006-09 | 2006-12 |
| Fung Chu Chan 陳鳳珠 | Rep 4 | 2007-08 | 2010-01 |
| Ka Kit (SFC:ATS061) Chan 陳嘉傑 | Rep 4 | 2009-09 | 2012-07 |
| Lai Yin Chan 陳麗賢 | Rep 4 | 2006-03 | 2009-04 |
| Percy Pak Hin Chan 陳柏軒 | Rep 4 | 2006-10 | 2007-02 |
| Sai Yuen (SFC:BEM794) Chan 陳世源 | Rep 9 | 2017-11 | 2018-08 |
| Wing Yin (SFC:AJG655) Chan 陳永賢 | Rep 4 | 2003-11 | 2005-03 |
| Zhenhong Chen 陳禎泓 | Rep 4, 9 | 2021-09 | 2022-05 |
| Chor Ki Cheng 鄭礎祺 | Rep 4 | 2003-06 | 2005-03 |
| Felix Cheuk Leung Cheung 張焯樑 | Rep 4 | 2004-03 | 2004-04 |
| Kevin Ka Ho Cheung 張家豪 | Rep 4 | 2007-02 | 2007-07 |
| Vancy Wai Ching Cheung 張慧菁 | Rep 4 | 2007-08 | 2008-07 |
| Chi Kui Chin 錢智駒 | Rep 9 | 2010-05 | 2011-07 |
| Yung Fai Ching 程容輝 | Rep 9 | 2015-02 | 2015-12 |
| Pok Man Choi 蔡博汶 | Rep 9 | 2014-01 | 2014-11 |
| Sheung Hang Choi 蔡尚衡 | Rep 4, 9 | 2010-03 | 2011-05 |
| Ching Chong 莊正 | Rep 9 | 2013-12 | 2020-01 |
| Ronny Wai Man Chow 周偉民 | Rep 9 | 2011-07 | 2011-11 |
| Yin Shan Chow 周燕珊 | Rep 4 | 2003-10 | 2013-07 |
| Chak Wai Choy 蔡澤偉 | Rep 4 | 2007-03 | 2008-10 |
| Wai Chau Chu 朱緯洲 | Rep 4 | 2007-01 | 2007-02 |
| Man Nga Chui 崔雯雅 | Rep 4 | 2009-05 | 2012-01 |
| Sandy Lai Sze Chung 鍾麗詩 | Rep 4 | Pre-2003 | 2006-08 |
| Suet Heung Fanny Fan 范雪香 | Rep 4 | 2010-03 | 2011-01 |
| Yibiao Feng 馮一飆 | Rep 9 | 2017-06 | 2019-11 |
| Hoi Fung 馮凱 | Rep 4 | 2005-06 | 2006-01 |
| Kin Wing (SFC:ANY399) Fung 馮鍵嶸 | Rep 4 | 2006-09 | 2007-05 |
| Sze Lung Fung | Rep 9 | 2021-07 | 2022-07 |
| Vivien Wai Wan Ho 何慧韻 | Rep 4 | 2009-12 | 2010-07 |
| Pui Lan Ip 葉佩蘭 | Rep 4 | 2003-09 | 2005-05 |
| Dickson Chun Wah Kam 甘鎮華 | Rep 4 | 2006-03 | 2007-01 |
| Kit Yi Koo 古潔儀 | Rep 4 | 2007-02 | 2008-01 |
| Ka Yiu Kwok 郭家耀 | Rep 4 | 2005-04 | 2009-08 |
| Stephen Chee King Kwok 郭子敬 | Rep 4 | 2003-10 | 2005-03 |
| Tsz Chung Kwok 郭子聰 | Rep 4 | 2009-12 | 2010-06 |
| Chun Wing Lai 賴雋永 | Rep 4, 9 | 2009-03 | 2009-08 |
| Yu Ling Lai 黎悅怜 | Rep 4 | 2007-01 | 2007-03 |
| Mandy Choi Ying Lam 林賽盈 | Rep 4 | 2004-04 | 2009-02 |
| Sheung Lai Lam 林尚禮 | Rep 4 | 2007-09 | 2007-11 |
| Elaine Yim Ling Lau 劉艷玲 | Rep 4 | 2008-01 | 2018-09 |
| Ka Fung Adrian Lau 劉家灃 | Rep 4, 9 | 2016-05 | 2017-05 |
| Richard Kwok Kuen Lau 劉國權 | Rep 4 | 2006-12 | 2007-03 |
| Sze Ming Lau 劉思明 | Rep 4 | Pre-2003 | 2004-09 |
| Chi Wing (SFC:AOI909) Lee 李之穎 | Rep 4 | 2006-12 | 2007-08 |
| Hung Kwong Lee 李鴻光 | Rep 4 | 2007-03 | 2008-06 |
| Kwok Wan Lee 李冠潤 | Rep 9 | 2013-01 | 2013-12 |
| Peter Ching Wah Lee 李清華 | Rep 4 | 2003-07 | 2003-09 |
| Po Chu Lee 李寶珠 | Rep 4, 9 | 2009-08 | 2011-05 |
| Tat Yuen Lee 李達源 | Rep 4 | 2004-05 | 2006-01 |
| Wai Yip (SFC:AGJ482) Lee 李偉業 | Rep 4 | 2006-06 | 2007-01 |
| Yeuk Yu Ross Lee 李若愚 | Rep 9 | 2012-05 | 2013-01 |
| Yiu Keung (SFC:AGO806) Lee 李耀强 | Rep 4, 9 | 2020-07 | 2022-08 |
| Hang Tung Leung 梁幸彤 | Rep 4, 9 | 2023-10 | 2024-12 |
| Hon Wai Anthony Li 李漢威 | Rep 9 | 2010-06 | 2013-09 |
| Shing Li 李誠 | Rep 4 | 2004-07 | 2004-11 |
| Ka Po Liu 廖嘉寶 | Rep 4 | 2007-02 | 2007-12 |
| Xiaoquan Liu 劉曉全 | Rep 9 | 2016-10 | 2017-08 |
| Sam Wan Wai Lok 駱穩威 | Rep 9 | 2011-08 | 2011-12 |
| Chin Man Ma 馬展文 | Rep 4 | 2007-01 | 2007-01 |
| Cho Hong Ma 馬祖匡 | Rep 4 | 2006-03 | 2007-02 |
| Kit Ling Mok 莫潔玲 | Rep 4 | 2005-04 | 2006-08 |
| Sing Hing Ng 伍承興 | Rep 4 | 2010-01 | 2018-06 |
| Xiao Niu 牛筱 | Rep 9 | 2017-06 | 2020-12 |
| Wenang Pan 潘文昂 | Rep 9 | 2017-11 | 2020-07 |
| Ching Lok Pang 彭正樂 | Rep 4 | 2003-04 | 2003-07 |
| Chi Wai (SFC:AGG750) Poon 潘志偉 | Rep 4 | Pre-2003 | 2004-05 |
| Lung Sang Poon 潘龍生 | Rep 4 | 2004-02 | 2004-05 |
| Hau Wai Pun 潘巧惠 | Rep 4 | 2006-03 | 2006-06 |
| William Wai Wai Siu 蕭衛威 | Rep 9 | 2012-02 | 2012-07 |
| Hui Sun 孫慧 | Rep 9 | 2017-07 | 2021-10 |
| Yuk Yin Sung 宋煜賢 | Rep 4 | 2009-12 | 2010-05 |
Showing 1–100 of 127
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