hkdata / sfclicences

SFC licences

The latest licences from Hong Kong's Securities and Futures Commission

Below is a sample of the data. For immediate access to the complete dataset via JSON or CSV/Excel files just click to buy a subscription below now.

Any questions? Get in touch, or discuss in the forum.

Data preview (first 50 records)

nameenglish namechinese ceref indieo princeref princeenglish princechinese lcrole acttype actenglish actchinese effdate enddate
HU Yongmin 胡勇敏 AFH227 indi AAO017 Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-14 00:00:00 2005-05-04 00:00:00
SANDERS Lewis Alan ALP908 indi ADX555 AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-14 00:00:00 2005-04-16 00:00:00
LEE Dokyoung ALB229 indi ADX555 AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-14 00:00:00 2005-04-15 00:00:00
LOK Hong Ping, Norman 樂航平 AAE833 indi AAE879 CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00
CHAN Siu Wing 陳兆榮 ACK807 indi AGK862 Nerico Brothers Limited RE 3 Leveraged Foreign Exchange Trading 槓桿式外匯交易 2005-04-13 00:00:00 2022-05-03 00:00:00
MARR Kakai AAV156 indi AAA113 Capital For Business Limited RO 9 Asset Management 提供資產管理 2005-04-13 00:00:00 2020-06-30 00:00:00
LI Chi Kat 李志佶 AEN831 indi AFE504 Evergrande Securities (Hong Kong) Limited 恒大證券(香港)有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2019-08-08 00:00:00
WONG Chung Ling 黃仲玲 AAA801 indi ADR667 Ewarton Securities Limited 穎翔證券有限公司 RO 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2019-05-28 00:00:00
WONG Chi Chiu, Alie 黃子超 AEC894 indi AHF861 Cepa Alliance Securities Limited 世博證券有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2017-10-13 00:00:00
CHAN Hom Kwong 陳鴻廣 AAV729 indi AEX690 China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 RE 3 Leveraged Foreign Exchange Trading 槓桿式外匯交易 2005-04-13 00:00:00 2016-12-03 00:00:00
CHAN Hom Kwong 陳鴻廣 AAV729 indi AEX690 China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2005-04-13 00:00:00 2016-12-03 00:00:00
CHAN Hom Kwong 陳鴻廣 AAV729 indi AAW536 China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2016-12-03 00:00:00
OR Ka Yan 柯嘉茵 AJL007 indi AGF692 Primco International Investments Limited 培基國際投資有限公司 RO 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2013-04-24 00:00:00
OR Ka Yan 柯嘉茵 AJL007 indi AGF692 Primco International Investments Limited 培基國際投資有限公司 RO 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2013-04-24 00:00:00
TANG Wai Kei 鄧慧琪 AEF333 indi ACV085 Huarong International Securities Limited 華融國際證券有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2005-04-13 00:00:00 2011-12-02 00:00:00
SIHOMBING Sala 詩鴻屏 ALS357 indi AAE964 Morgan Stanley Hong Kong Futures Limited RE 7 Providing Automated Trading Services 提供自動化交易服務 2005-04-13 00:00:00 2010-12-06 00:00:00
CHAN Chi Fung 陳志鋒 AJE865 indi ADI983 Chief Securities Limited 致富證券有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2010-10-08 00:00:00
YU Ngao Shuet 余傲雪 ALW566 indi ACP065 Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2010-07-31 00:00:00
SHUKLA Rahul AHH429 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2010-07-01 00:00:00
TONG Kwok Chung 湯國忠 ALS718 indi AFQ784 OnePlatform Asset Management Limited 環一資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2010-06-14 00:00:00
TANG Yan Yi, Michelle 鄧恩兒 ALS715 indi AFQ784 OnePlatform Asset Management Limited 環一資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2010-06-11 00:00:00
KWAN Chun Wai 關俊偉 ALU123 indi AFQ784 OnePlatform Asset Management Limited 環一資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2010-06-10 00:00:00
CHOW Chi Yung 周智勇 ALW482 indi AGC028 China Everbright Assets Management Limited 中國光大資產管理有限公司 RE 9 Asset Management 提供資產管理 2005-04-13 00:00:00 2010-05-10 00:00:00
CHOW Chi Yung 周智勇 ALW482 indi AGC028 China Everbright Assets Management Limited 中國光大資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2010-05-10 00:00:00
HO Shirley Yan-fen 何艷芬 ALU613 indi AGX724 CAIIS Limited RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2010-04-14 00:00:00
GRAVANIS Anthony ALW210 indi AAD291 Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2009-10-02 00:00:00
GRAVANIS Anthony ALW210 indi AAE964 Morgan Stanley Hong Kong Futures Limited RE 2 Dealing in Futures Contracts 期貨合約交易 2005-04-13 00:00:00 2009-10-02 00:00:00
LASKOWSKI Christopher Anthony AFG847 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2009-09-18 00:00:00
KWAN Chi Man 關志民 AFW341 indi AAF990 Sun Life Hong Kong Limited 香港永明金融有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2009-05-31 00:00:00
CHAN Sau Heung 陳秀香 AGA360 indi AAF990 Sun Life Hong Kong Limited 香港永明金融有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2009-05-31 00:00:00
YIP Ka Ho 葉家豪 ALQ922 indi AGJ248 Standard Life Investments (Asia) Limited RE 9 Asset Management 提供資產管理 2005-04-13 00:00:00 2009-04-10 00:00:00
CHANG Man Lung, Sam 張敏龍 ALU467 indi AFQ784 OnePlatform Asset Management Limited 環一資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2009-03-20 00:00:00
KERRIDGE Hugh Copeland ALW562 indi ABW343 Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2005-04-13 00:00:00 2009-02-27 00:00:00
KERRIDGE Hugh Copeland ALW562 indi ACC536 Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2009-02-27 00:00:00
LEE Wai Chung, Deborah 李慧中 AFY974 indi ADX555 AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 9 Asset Management 提供資產管理 2005-04-13 00:00:00 2009-02-18 00:00:00
LEE Wai Chung, Deborah 李慧中 AFY974 indi ADX555 AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2009-02-18 00:00:00
LEE Wai Chung, Deborah 李慧中 AFY974 indi ADX555 AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2009-02-18 00:00:00
LEUNG Ngai Lam 梁藝霖 AFL724 indi AAF990 Sun Life Hong Kong Limited 香港永明金融有限公司 RE 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2009-01-22 00:00:00
NGUYEN Son Nam AFE207 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-11-21 00:00:00
CHISHTY Shaheryar Arshad AEZ304 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-10-30 00:00:00
SIU Kin Chung 蕭建聰 AAH536 indi AAF640 South China Commodities Limited 南華期貨有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2005-04-13 00:00:00 2008-09-20 00:00:00
SIU Kin Chung 蕭建聰 AAH536 indi AAA874 South China Securities Limited 南華證券投資有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-09-20 00:00:00
BHATIA Sanjiv ADG304 indi ALQ137 Deephaven Asia Limited RO 9 Asset Management 提供資產管理 2005-04-13 00:00:00 2008-09-10 00:00:00
BHATIA Sanjiv ADG304 indi ALQ137 Deephaven Asia Limited RO 4 Advising on Securities 就證券提供意見 2005-04-13 00:00:00 2008-09-10 00:00:00
LAU Tat Wai, David 劉達維 ADF528 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-05-29 00:00:00
CHEONG Kin 張健 ACP792 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 2 Dealing in Futures Contracts 期貨合約交易 2005-04-13 00:00:00 2008-05-16 00:00:00
CHEONG Kin 張健 ACP792 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-05-16 00:00:00
CHEONG Kin 張健 ACP792 indi AAA137 Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-05-16 00:00:00
PARKER Anthony Simon ACF130 indi ABM371 Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-04-17 00:00:00
KONG Yiu Chung 鄺耀宗 ALS425 indi ABH246 Everhot Securities Limited 億康證券有限公司 RE 1 Dealing in Securities 證券交易 2005-04-13 00:00:00 2008-02-28 00:00:00

Source: https://www.sfc.hk/en/Regulatory-functions/Intermediaries/Licensing/Register-of-licensed-persons-and-registered-institutions

Field names and types

Field Name Type (Format) Description
nameenglish text
namechinese text
ceref text
indieo text
princeref text
princeenglish text
princechinese text
lcrole text
acttype number Number of SFC licence type
actenglish text
actchinese text
effdate datetime Start of licence
enddate datetime End of licence