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