SFC principals details data

Up-to-date contact information of all Hong Kong SFC-licenced principals, including complaints officers

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princeref princeenglish princechinese is_ri is_corp emails websites addresses_other disactions addressenglish addresschinese complaints_tel complaints_fax complaints_email mineffdate maxeffdate minenddate maxenddate
AVG428 CMBC International Futures Company Limited 民銀國際期貨有限公司 false true ["{\"email\":\"compliance_dept@cmbccap.com\"}"] ["{\"website\":\"www.cmbccap.com\"}"] ["{\"fullAddress\":\"45/F One Exchange Square, 8 Connaught Place, Central, Hong... [] 45/F One Exchange Square, 8 Connaught Place, Central, Hong Kong 香港中環康樂廣場8號交易廣場一期45樓 37288000 legal_compliance@cmbcint.com 2010-08-20T00:00:00 2024-05-02T00:00:00 2010-10-24 00:00:00 2024-05-02 00:00:00
APU820 CMBC Securities Company Limited 民銀證券有限公司 false true ["{\"email\":\"compliance_dept@cmbccap.com\"}"] ["{\"website\":\"www.cmbccap.com\"}"] ["{\"fullAddress\":\"45/F, One Exchange Square, 8 Connaught Place, Central, Hong... [] 45/F, One Exchange Square, 8 Connaught Place, Central, Hong Kong 香港中環康樂廣場8號交易廣場一期45樓 37288000 legal_compliance@cmbcint.com 2008-01-24T00:00:00 2024-05-02T00:00:00 2010-01-31 00:00:00 2024-05-02 00:00:00
BUF982 Hong & Hong Partners Limited false true ["{\"email\":\"david@hnh-capital.com\"}"] ["null"] ["{\"fullAddress\":\"Unit 1612, 16th Floor, West Tower, Shun Tak Centre, 168-200 Connaught Road Central, Hong Kong, Hong... [] Unit 1612, 16th Floor, West Tower, Shun Tak Centre, 168-200 Connaught Road Central, Hong Kong, Hong Kong Unit 1612, 16th Floor, West Tower, Shun Tak Centre, 168-200 Connaught Road Central, Hong Kong, Hong Kong 35260302 ella@hnh-capital.com 2024-04-30T00:00:00 2024-04-30T00:00:00
BMR631 Zundiao Securities Limited 尊迪奧證券有限公司 false true ["{\"email\":\"info@zundiao.hk\"}"] ["{\"website\":\"www.zundiao.hk\"}"] ["{\"fullAddress\":\"17/Floor, Central 88, 88-98 Des Voeux Road Central, Hong Kong\",\"fullAddressChin\":\"香港中環德輔道中88-98號中環8817... [] 17/Floor, Central 88, 88-98 Des Voeux Road Central, Hong Kong 香港中環德輔道中88-98號中環8817 樓 31840929 31014589 lilia@zundiao.hk 2018-09-03T00:00:00 2024-04-29T00:00:00 2019-03-01 00:00:00 2024-02-05 00:00:00
AAP809 AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 false true ["{\"email\":\"hkcompliance@axa-im.com\"}"] ["{\"website\":\"www.axa-im.com.hk\"}"] ["{\"fullAddress\":\"Suites 3603-05, One Taikoo Place, Taikoo Place, 979 Kings Road, Quarry Bay, Hong... [] Suites 3603-05, One Taikoo Place, Taikoo Place, 979 Kings Road, Quarry Bay, Hong Kong 香港鰂魚涌太古坊英皇道979號太古坊一座3603-05室 852 2285 2090 852 2285 2997 hkcompliance@axa-im.com 2003-04-01T00:00:00 2024-04-29T00:00:00 2004-05-31 00:00:00 2023-10-16 00:00:00
AAB026 J.P. Morgan Securities (Far East) Limited false true ["{\"email\":\"hk.compliance@jpmorgan.com\"}"] ["{\"website\":\"jpmorgan.com\"}"] ["{\"fullAddress\":\"23-29/F Chater House, 8 Connaught Road Central, Hong Kong\",\"fullAddressChin\":\"香港中環干諾道中8號遮打大廈... [] 23-29/F Chater House, 8 Connaught Road Central, Hong Kong 香港中環干諾道中8號遮打大廈 23-29樓 28001717 28369733 hk.complaint.officer@jpmorgan.com 2003-04-01T00:00:00 2024-04-29T00:00:00 2003-05-27 00:00:00 2024-03-31 00:00:00
BJP857 Excelerate Fund Management Limited 卓思基金管理有限公司 false true ["{\"email\":\"zenith@exceleratefund.com\"}"] ["null"] ["{\"fullAddress\":\"Room 2710, 27/F, C C Wu Building 302-308 Hennessy Road, Wanchai, Hong Kong\",\"fullAddressChin\":\"香港灣仔集成中心, 軒尼詩道302-308... [] Room 2710, 27/F, C C Wu Building 302-308 Hennessy Road, Wanchai, Hong Kong 香港灣仔集成中心, 軒尼詩道302-308 號2710 室, 27 樓 34682682 34682641 info@exceleratefund.com 2018-02-08T00:00:00 2024-04-26T00:00:00 2019-07-14 00:00:00 2023-12-22 00:00:00
AAC662 Quam Asset Management Limited 華富建業資產管理有限公司 false true ["{\"email\":\"CTAM-Compliance@quamgroup.com\"}"] ["{\"website\":\"www.quamam.com\"}"] ["{\"fullAddress\":\"5/F and 24/F (Rooms 2401 and 2412), Wing On Centre, 111 Connaught Road Central, Hong... [] 5/F and 24/F (Rooms 2401 and 2412), Wing On Centre, 111 Connaught Road Central, Hong Kong 香港干諾道中111號永安中心5樓及24樓 (2401及2412室) 28472222 39058734 CTAM-complaint@quamgroup.com 2003-04-01T00:00:00 2024-04-26T00:00:00 2004-10-15 00:00:00 2024-03-02 00:00:00
BQN847 Yan Yun Family Office (HK) Limited 胤源世創家族辦公室(香港)有限公司 false true ["{\"email\":\"fung_jason@yahoo.com\"}"] ["null"] ["{\"fullAddress\":\"Room C, Suite 1130, 11/F., Ocean Centre, Harbour City, Tsim Sha Tsui, Kowloon, Hong... [] Room C, Suite 1130, 11/F., Ocean Centre, Harbour City, Tsim Sha Tsui, Kowloon, Hong Kong 香港九龍尖沙咀海港城海洋中心11樓1130室C房間 31880556 fung_jason@yahoo.com 2021-06-28T00:00:00 2024-04-25T00:00:00 2021-09-29 00:00:00 2024-04-25 00:00:00
AEL202 Cinda International Securities Limited 信達國際證券有限公司 false true ["{\"email\":\"info@cinda.com.hk\"}"] ["{\"website\":\"www.cinda.com.hk\"}"] ["{\"fullAddress\":\"45/F Cosco Tower, 183 Queen's Road Central, Hong... [] 45/F Cosco Tower, 183 Queen's Road Central, Hong Kong 香港皇后大道中183號中遠大廈45樓 2235 7893 2235 7878 traley.chan@cinda.com.hk 2003-04-01T00:00:00 2024-04-25T00:00:00 2003-04-15 00:00:00 2024-03-16 00:00:00
BRG131 Winbull Securities International (Hong Kong) Limited 盈寶證券國際(香港)有限公司 false true ["{\"email\":\"info@winbull.hk\"}"] ["{\"website\":\"www.winbull.hk\"}"] ["{\"fullAddress\":\"Unit A, 26/F, United Centre, 95 Queensway, Admiralty, Hong... [] Unit A, 26/F, United Centre, 95 Queensway, Admiralty, Hong Kong 香港金鐘金鐘道95號統一中心26樓A室 23709537 compliance@winbull.hk 2021-12-07T00:00:00 2024-04-24T00:00:00 2022-03-21 00:00:00 2024-03-28 00:00:00
ACC536 Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 false true ["{\"email\":\"hklicensing@gs.com\"}"] ["{\"website\":\"www.gs.com\"}"] ["{\"fullAddress\":\"68/F Cheung Kong Center, 2 Queen's Road Central, Hong... ["{\"actnDate\":\"Oct 22, 2020 12:00:00 AM\",\"codeDesc\":\"Fine\",\"codeCdesc\":\"罰款\",\"engDocSeq\":\"2910\",\"chiDocSeq\":\"2911\"}",... 68/F Cheung Kong Center, 2 Queen's Road Central, Hong Kong 香港中環皇后大道中2號長江集團中心68樓 29781539 29780967 gs-reg-inquiries-apej@gs.com 2003-04-01T00:00:00 2024-04-24T00:00:00 2003-04-02 00:00:00 2024-03-29 00:00:00
AAI619 South China Research Limited 南華資料研究有限公司 false true ["{\"email\":\"sccompliance@sctrade.com\"}"] ["{\"website\":\"www.sctrade.com\"}"] ["{\"fullAddress\":\"28/F Bank of China Tower, 1 Garden Road, Central, Hong... [] 28/F Bank of China Tower, 1 Garden Road, Central, Hong Kong 香港中環花園道1號中銀大廈28樓 28207284 scfh.compliance@sctrade.com 2003-04-01T00:00:00 2024-04-24T00:00:00 2003-09-25 00:00:00 2024-03-21 00:00:00
BJS147 Chiyu International Capital Limited 集友國際資本有限公司 false true ["{\"email\":\"chiyu@chiyubank.com\"}"] ["{\"website\":\"http://www.chiyubank.com/chiyu/index.htm\"}"] ["{\"fullAddress\":\"1/F, 100QRC, 100 Queen's Road Central, Hong Kong\",\"fullAddressChin\":\"香港中環皇后大道中100號100QRC... [] 1/F, 100QRC, 100 Queen's Road Central, Hong Kong 香港中環皇后大道中100號100QRC 1樓 39824686 29838266 joeleung@chiyubank.com 2018-05-30T00:00:00 2024-04-23T00:00:00 2019-08-28 00:00:00 2023-02-14 00:00:00
BIH342 MCM Investment Partners Limited (trading as MCM Investment Partners) (以曼睿資管名義經營業務) false true ["{\"email\":\"contact@mcmpartners.com\"}"] ["{\"website\":\"www.mcmpartners.com\"}"] ["{\"fullAddress\":\"Suite 701, 7/F, Henley Building,, 5 Queen's Road Central,, Hong... [] Suite 701, 7/F, Henley Building,, 5 Queen's Road Central,, Hong Kong 香港皇后大道中5號衡怡大廈7樓701室 22100812 22599328 vivian.liu@mcmpartners.com 2017-11-16T00:00:00 2024-04-23T00:00:00 2018-07-03 00:00:00 2023-12-20 00:00:00
BAR474 MCM Asia Limited (trading as MCM Partners) (以曼睿資本名義經營業務) false true ["{\"email\":\"vivian.liu@mcmpartners.com\"}"] ["{\"website\":\"www.mcmpartners.com\"}"] ["{\"fullAddress\":\"Suite 701, 7/F, Henley Building,, 5 Queen's Road Central,, Hong... [] Suite 701, 7/F, Henley Building,, 5 Queen's Road Central,, Hong Kong 香港皇后大道中5號衡怡大廈7樓701室 22100812 22599328 vivian.liu@mcmpartners.com 2013-03-28T00:00:00 2024-04-23T00:00:00 2013-08-01 00:00:00 2023-12-20 00:00:00
AXT597 Frontier Capital Management Limited 方達資本管理有限公司 false true ["{\"email\":\"compliance@ffgwm.com\"}"] ["{\"website\":\"www.ffgwm.com\"}"] ["{\"fullAddress\":\"Units 3201 - 3203, 32/F,, Bank of America Tower, 12 Harcourt Road,, Central, Hong... [] Units 3201 - 3203, 32/F,, Bank of America Tower, 12 Harcourt Road,, Central, Hong Kong 香港中環夏慤道12號美國銀行中心32樓3201-3203室 22697789 22697708 compliance@ffgwm.com 2011-11-15T00:00:00 2024-04-23T00:00:00 2012-02-07 00:00:00 2024-01-31 00:00:00
AEO166 Vantum Futures Limited 雋一期貨有限公司 false true ["{\"email\":\"compliance@vantum.com.hk\"}"] ["null"] ["{\"fullAddress\":\"Suite 2309-2311, 23/F,, CITIC Tower, No. 1 Tim Mei Avenue,, Central, Hong Kong\",\"fullAddressChin\":\"香港中環添美道1號中信大廈23樓,... [] Suite 2309-2311, 23/F,, CITIC Tower, No. 1 Tim Mei Avenue,, Central, Hong Kong 香港中環添美道1號中信大廈23樓, 2309-2311室 28151281 28543236 hangtaifutures@gmail.com 2003-04-01T00:00:00 2024-04-23T00:00:00 2003-08-25 00:00:00 2023-11-30 00:00:00
AAC298 BOCI Securities Limited 中銀國際證券有限公司 false true ["{\"email\":\"hklicense@bocigroup.com\"}"] ["{\"website\":\"www.bocionline.com\"}"] ["{\"fullAddress\":\"20/F Bank of China Tower, 1 Garden Road, Central, Hong... [] 20/F Bank of China Tower, 1 Garden Road, Central, Hong Kong 香港中環花園道1號中銀大廈20樓 39886520 21479059 complaint@bocigroup.com 2003-04-01T00:00:00 2024-04-23T00:00:00 2003-05-20 00:00:00 2024-04-23 00:00:00
BOW474 ZH Securities Limited 中昊証券有限公司 false true ["{\"email\":\"huihe.zheng@zhonghao.com.hk\"}"] ["{\"website\":\"zhonghao.com.hk\"}"] ["{\"fullAddress\":\"Suite 931, 9/F, Ocean Centre, Harbour City, Tsim Sha Tsui, Hong... [] Suite 931, 9/F, Ocean Centre, Harbour City, Tsim Sha Tsui, Hong Kong 香港尖沙咀區海港城海洋中心9樓931室 37976161 37972662 ivan.chin@zhonghao.com.hk 2020-02-04T00:00:00 2024-04-19T00:00:00 2020-03-06 00:00:00 2022-10-31 00:00:00

Number of rows in the full dataset: 5,222