Southwest Securities International Securities Limited provides various financial services in Hong Kong. The company is a subsidiary of Southwest Securities International Investment Limited.
The company’s principal business includes brokerage and margin financing, corporate finance, asset management and proprietary trading.
Segments
The company operates through Brokerage and Margin Financing, Corporate Finance, Asset Management, and Proprietary Trading segments.
Brokerage and Margin F...
Southwest Securities International Securities Limited provides various financial services in Hong Kong. The company is a subsidiary of Southwest Securities International Investment Limited.
The company’s principal business includes brokerage and margin financing, corporate finance, asset management and proprietary trading.
Segments
The company operates through Brokerage and Margin Financing, Corporate Finance, Asset Management, and Proprietary Trading segments.
Brokerage and Margin Financing
This segment provides brokerage services in securities, futures and options and insurance products; provision of margin financing services.
Corporate Finance
This segment provides underwriting and placements and corporate finance advisory services.
Asset management Provision of asset management services.
Proprietary Trading
This segment engages in proprietary trading in securities, futures and options, and fund investments.
Regulations
The company complies with the requirements as set out by various regulators, such as Hong Kong Exchanges and Clearing Limited, the SFC, the Hong Kong Independent Commission Against Corruption, the Hong Kong Confederation of Insurance Brokers, the Professional Insurance Brokers Association, the Insurance Authority and the Mandatory Provident Fund Schemes Authority. The company also strictly adheres to applicable laws and regulations in the Hong Kong relating to product responsibility and proper conduct in the financial market, including but not limited to the Securities and Futures Ordinance; Personal Data (Privacy) Ordinance; Companies Ordinance; Anti-Money Laundering and Counter-Terrorist Financing Ordinance; Drug Trafficking (Recovery of Proceeds) Ordinance; Organised and Serious Crimes Ordinance; United Nations (Anti-Terrorism Measures) Ordinance; United Nations Sanctions Ordinance; Weapons of Mass Destruction (Control of Provision of Services) Ordinance; Prevention of Bribery Ordinance; Insurance Ordinance; and Mandatory Provident Fund Schemes Ordinance.
History
Southwest Securities International Securities Limited was founded in 1990.