hkdata / sfclicences

SFC licences

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

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Data preview (first 50 records of 505,363)

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

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