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.
| nameenglish | namechinese | ceref | indieo | princeref | princeenglish | princechinese | lcrole | acttype | actenglish | actchinese | effdate | enddate |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| DEMAIO Thomas Vincent | AML645 | indi | AMB458 | Ritchie Capital Management (Hong Kong) Limited | RE | 9 | Asset Management | 提供資產管理 | 2005-09-27 00:00:00 | 2006-05-01 00:00:00 | ||
| NG Sze Man | 吳施敏 | AMN571 | indi | AAG075 | HSBC Broking Futures (Asia) Limited | 滙豐金融期貨(亞洲)有限公司 | RE | 2 | Dealing in Futures Contracts | 期貨合約交易 | 2005-09-27 00:00:00 | 2006-01-07 00:00:00 |
| NG Sze Man | 吳施敏 | AMN571 | indi | ABX727 | HSBC Broking Securities (Asia) Limited | 滙豐金融證券(亞洲)有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-27 00:00:00 | 2006-01-07 00:00:00 |
| LAU Che Wah | 劉志華 | AAB300 | indi | AAB241 | HSBC Securities (Asia) Limited | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-27 00:00:00 | 2005-11-14 00:00:00 | |
| CHENG Siu Lun, Simon | 程韶倫 | AIQ484 | indi | AHE514 | Horizon Capital Management and Research Limited | RE | 9 | Asset Management | 提供資產管理 | 2005-09-27 00:00:00 | 2005-11-10 00:00:00 | |
| CHENG Siu Lun, Simon | 程韶倫 | AIQ484 | indi | AHE514 | Horizon Capital Management and Research Limited | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-27 00:00:00 | 2005-11-10 00:00:00 | |
| MITCHINSON David Nicholas | ALW321 | indi | AAA135 | JPMorgan Funds (Asia) Limited | 摩根基金(亞洲)有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-27 00:00:00 | 2005-10-07 00:00:00 | |
| MITCHINSON David Nicholas | ALW321 | indi | AAA121 | JPMorgan Asset Management (Asia Pacific) Limited | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-27 00:00:00 | 2005-10-07 00:00:00 | ||
| LI Kam Ching, Derick | 李金錚 | ADH908 | indi | ABX154 | Jefferies Bache (Hong Kong) Limited | RO | 2 | Dealing in Futures Contracts | 期貨合約交易 | 2005-09-27 00:00:00 | 2005-10-04 00:00:00 | |
| LAU Hon | 劉侃 | AGR037 | indi | AAB639 | Daiwa Capital Markets Hong Kong Limited | 大和資本市場香港有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-27 00:00:00 | 2005-10-04 00:00:00 |
| LIEBERMAN Gerald Michael | ALK159 | 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 | 2005-09-27 00:00:00 | 2005-09-28 00:00:00 | |
| CHAN Sau Mei | 陳秀美 | ADA700 | indi | AAC927 | Shenwan Hongyuan Securities (H.K.) Limited | 申萬宏源證券(香港)有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | |
| WANG Yi | 王逸 | ALI121 | indi | ACC536 | Goldman Sachs (Asia) L.L.C. | 高盛(亞洲)有限責任公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | |
| WANG Yi | 王逸 | ALI121 | 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 | 2005-09-26 00:00:00 | |
| SAHA Prosenjit | AMN548 | 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 | 2005-09-26 00:00:00 | ||
| SAHA Prosenjit | AMN548 | indi | AAA137 | Citigroup Global Markets Asia Limited | 花旗環球金融亞洲有限公司 | RE | 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2005-09-26 00:00:00 | ||
| CHAN Chi Chiu, Henry | 陳志超 | ADF666 | indi | AGC150 | CTW Securities Limited | 卓越證券有限公司 | RO | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2019-11-01 00:00:00 |
| CHAN Wai Man Raymond | 陳偉民 | AEI190 | indi | AFJ685 | Realink Financial Trade Limited | 滙信理財有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2014-07-12 00:00:00 |
| YAU Yiu Keung | 丘耀強 | AMH856 | indi | AJD993 | Altruist Financial Group Limited | 進邦匯理有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2013-01-06 00:00:00 |
| HO Kwok Leung | 何國良 | ACV096 | indi | ABA779 | BNP PARIBAS ASSET MANAGEMENT ASIA Limited | 法國巴黎資產管理亞洲有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2012-09-01 00:00:00 |
| CHENG Kar Yee, Monita | 鄭嘉誼 | ALF333 | indi | AEJ689 | iBest Consultants Limited | RE | 9 | Asset Management | 提供資產管理 | 2005-09-26 00:00:00 | 2011-11-04 00:00:00 | |
| CHENG Kar Yee, Monita | 鄭嘉誼 | ALF333 | indi | AEJ689 | iBest Consultants Limited | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2011-11-04 00:00:00 | |
| WONG Yat Hong, Johnny | 黃日康 | ABV900 | indi | AGP568 | UBS Asset Management (Hong Kong) Limited | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2011-09-26 00:00:00 | |
| CHU Wing Yee, Winnie | 朱詠儀 | AGP150 | indi | AGO173 | Yuanta Asset Management (H.K.) Limited | 元大資產管理(香港)有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2011-08-01 00:00:00 |
| CHAN Wing Kei | 陳永基 | AMM087 | indi | ADI983 | Chief Securities Limited | 致富證券有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2011-07-20 00:00:00 |
| CHAN Ka Yan, Vanica | 陳加殷 | AMI757 | 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 | 2005-09-26 00:00:00 | 2010-06-21 00:00:00 |
| NG Chui Yiu, Jennifer | 伍翠瑤 | AFV208 | indi | ACV085 | Huarong International Securities Limited | 華融國際證券有限公司 | RO | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2010-06-07 00:00:00 |
| CHU Chak Chuen | 朱澤泉 | AMI811 | indi | AJF358 | Centaline Wealth Management Limited | 中原資產管理有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2009-05-25 00:00:00 |
| LOOK Po Shan, Pauline | 陸葆珊 | AMM445 | indi | AEY707 | HSBC Guyerzeller Far East Limited | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2009-04-01 00:00:00 | |
| LOOK Po Shan, Pauline | 陸葆珊 | AMM445 | indi | AEY707 | HSBC Guyerzeller Far East Limited | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2009-04-01 00:00:00 | |
| CHU Chun-Ju | 朱俊如 | AEK266 | indi | AAF742 | Nomura International (Hong Kong) Limited | 野村國際(香港)有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2009-02-10 00:00:00 |
| CHU Chi Ling, Janice | 朱芷寧 | ALI083 | indi | AHQ356 | CASH Wealth Management Limited | 時富財富管理有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2009-01-24 00:00:00 |
| HO Joh Hei | 何佐禧 | AMI877 | 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 | 2005-09-26 00:00:00 | 2008-11-26 00:00:00 |
| KODAMA Madoka | AMN549 | indi | AAF351 | Nomura Asset Management Hong Kong Limited | 野村投資管理香港有限公司 | RE | 9 | Asset Management | 提供資產管理 | 2005-09-26 00:00:00 | 2008-07-14 00:00:00 | |
| KODAMA Madoka | AMN549 | indi | AAF351 | Nomura Asset Management Hong Kong Limited | 野村投資管理香港有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2008-07-14 00:00:00 | |
| HO Kwok Leung | 何國良 | ACV096 | indi | ABA779 | BNP PARIBAS ASSET MANAGEMENT ASIA Limited | 法國巴黎資產管理亞洲有限公司 | RE | 5 | Advising on Futures Contracts | 就期貨合約提供意見 | 2005-09-26 00:00:00 | 2008-06-27 00:00:00 |
| HO Kwok Leung | 何國良 | ACV096 | indi | ABA779 | BNP PARIBAS ASSET MANAGEMENT ASIA Limited | 法國巴黎資產管理亞洲有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2008-06-27 00:00:00 |
| WILSON Marcus Charles | AME447 | indi | AAC534 | Macquarie Capital Limited | 麥格理資本股份有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2008-05-31 00:00:00 | |
| KAM Nga Sze, Kancy | 甘雅詩 | AMI399 | indi | AGN867 | Global Investment Advisors Limited | 寰宇投資顧問有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2008-05-30 00:00:00 |
| OH Seung Joo | 吳昇宙 | ALJ848 | indi | AAE689 | Lehman Brothers Asia Limited | 美國雷曼兄弟亞洲投資有限公司 | RE | 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2005-09-26 00:00:00 | 2008-04-15 00:00:00 |
| OH Seung Joo | 吳昇宙 | ALJ848 | indi | AAE689 | Lehman Brothers Asia Limited | 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2008-04-15 00:00:00 |
| LAU Ka Kit, Paul | 劉家傑 | ADU886 | indi | AFT106 | TC Investment Management (Asia) Limited | 同創投資管理(亞洲)有限公司 | RE | 9 | Asset Management | 提供資產管理 | 2005-09-26 00:00:00 | 2007-09-07 00:00:00 |
| LACEY Sohee Mary | AMM501 | 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 | 2005-09-26 00:00:00 | 2007-07-27 00:00:00 | |
| LACEY Sohee Mary | AMM501 | indi | AAA137 | Citigroup Global Markets Asia Limited | 花旗環球金融亞洲有限公司 | RE | 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2005-09-26 00:00:00 | 2007-07-27 00:00:00 | |
| LACEY Sohee Mary | AMM501 | indi | ABM371 | Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2007-07-27 00:00:00 | ||
| SPERO Gareth Jeremy | AMN551 | 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 | 2005-09-26 00:00:00 | 2007-07-11 00:00:00 | |
| SPERO Gareth Jeremy | AMN551 | indi | ABM371 | Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2007-07-11 00:00:00 | ||
| SPERO Gareth Jeremy | AMN551 | indi | AAA137 | Citigroup Global Markets Asia Limited | 花旗環球金融亞洲有限公司 | RE | 4 | Advising on Securities | 就證券提供意見 | 2005-09-26 00:00:00 | 2007-07-11 00:00:00 | |
| LAM Chui Wah | 林翠嘩 | AMM393 | indi | ADI983 | Chief Securities Limited | 致富證券有限公司 | RE | 1 | Dealing in Securities | 證券交易 | 2005-09-26 00:00:00 | 2007-05-05 00:00:00 |
| CHENG Winston Shao-Min | 鄭孝明 | ADZ972 | indi | AAA137 | Citigroup Global Markets Asia Limited | 花旗環球金融亞洲有限公司 | RE | 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2005-09-26 00:00:00 | 2007-03-23 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 |
