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TONG Shing, Johnson

唐誠
CE AOB604Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TONG Shing, Johnson (CE number AOB604) is an individual licensed by the Hong Kong SFC. First licensed on 2006-10-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerSouthwest Securities (HK) Asset Management Limited
西證(香港)資產管理有限公司
Responsible OfficerSouthwest Securities (HK) Brokerage Limited
西證(香港)證券經紀有限公司
Responsible OfficerSouthwest Securities (HK) Futures Limited
西證(香港)期貨有限公司

Licence Record (6)

2020-09-03 – present Current
Southwest Securities (HK) Asset Management Limited RO
RA 4 RA 9
2017-04-20 – present Current
Southwest Securities (HK) Brokerage Limited RO
RA 1 RA 4
2017-04-20 – present Current
Southwest Securities (HK) Futures Limited RO
RA 2
2007-01-16 – 2020-09-03
Southwest Securities (HK) Asset Management Limited Rep
RA 4 RA 9
2006-10-20 – 2020-09-03
Southwest Securities (HK) Brokerage Limited Rep
RA 1 RA 4
2006-10-20 – 2017-04-20
Southwest Securities (HK) Futures Limited Rep
RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AOB604