Johnson Shing Tong
唐誠
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. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
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 |