hkdata / sfclicences

SFC licences

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

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Data preview (first 50 records)

nameenglish namechinese ceref indieo princeref princeenglish princechinese lcrole acttype actenglish actchinese effdate enddate
LO Karen Ka-wai 盧嘉慧 ACD184 indi AAA889 MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2022-09-23 00:00:00
LO Ka Chiu 盧嘉昭 AEQ415 indi ACM423 Ever-Long Securities Company Limited 長雄證券有限公司 RO 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
LO Ka Chiu 盧嘉昭 AEQ415 indi ACM423 Ever-Long Securities Company Limited 長雄證券有限公司 RO 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LI Sai Yiu, Charles 李世耀 AFN641 indi AAL518 HSBC Investment Funds (Hong Kong) Limited RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
LI Sai Yiu, Charles 李世耀 AFN641 indi AAF684 HSBC Global Asset Management (Hong Kong) Limited RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
LI Sai Yiu, Charles 李世耀 AFN641 indi AAL518 HSBC Investment Funds (Hong Kong) Limited RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LI Sai Yiu, Charles 李世耀 AFN641 indi AAF684 HSBC Global Asset Management (Hong Kong) Limited RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LEUNG Chun Wa 梁晉華 AJF048 indi BIJ793 Gentleman Capital Limited 紳士資本有限公司 RO 9 Asset Management 提供資產管理 2022-09-23 00:00:00
HO Hin Sing, Hanson 何顯聲 AMI554 indi BLE877 Mouette Securities Company Limited 海盈證券有限公司 RO 9 Asset Management 提供資產管理 2022-09-23 00:00:00
HO Hin Sing, Hanson 何顯聲 AMI554 indi BLE877 Mouette Securities Company Limited 海盈證券有限公司 RO 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
HO Hin Sing, Hanson 何顯聲 AMI554 indi BLE877 Mouette Securities Company Limited 海盈證券有限公司 RO 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
KOTO Hisanori 古東久典 ANS125 indi AAC352 Merrill Lynch Far East Limited RE 2 Dealing in Futures Contracts 期貨合約交易 2022-09-23 00:00:00
KOTO Hisanori 古東久典 ANS125 indi AAC352 Merrill Lynch Far East Limited RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
KOTO Hisanori 古東久典 ANS125 indi AAC198 Merrill Lynch (Asia Pacific) Limited RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
TSANG Oi Shan, Teresa 曾愛珊 ANB045 indi BQC240 Huafu International Finance Limited 華福國際融資有限公司 RE 6 Advising on Corporate Finance 就機構融資提供意見 2022-09-23 00:00:00
BARTLETT David Vernon APD399 indi BIA093 ASPIRE Multi-Family Office Limited RE 9 Asset Management 提供資產管理 2022-09-23 00:00:00
HUI Lam 許琳 AQZ995 indi AZX665 Fullgoal Asset Management (HK) Limited 富國資產管理(香港)有限公司 RE 9 Asset Management 提供資產管理 2022-09-23 00:00:00
HUI Lam 許琳 AQZ995 indi AZX665 Fullgoal Asset Management (HK) Limited 富國資產管理(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
HUI Lam 許琳 AQZ995 indi AZX665 Fullgoal Asset Management (HK) Limited 富國資產管理(香港)有限公司 RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LAM Sheung Chiu, Maat 林襄潮 AQK246 indi AXT597 Frontier Capital Management Limited 方達資本管理有限公司 RO 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
LAM Sheung Chiu, Maat 林襄潮 AQK246 indi AXT597 Frontier Capital Management Limited 方達資本管理有限公司 RO 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LIU Li 劉莉 AVR897 indi BHT550 Eddid Securities and Futures Limited 艾德證券期貨有限公司 RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
CURTIS Matthew Simon BAC077 indi ATY965 Fry Group (H.K.) Limited, The RE 9 Asset Management 提供資產管理 2022-09-23 00:00:00
CURTIS Matthew Simon BAC077 indi ATY965 Fry Group (H.K.) Limited, The RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
CURTIS Matthew Simon BAC077 indi ATY965 Fry Group (H.K.) Limited, The RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
CHEUNG Wing Tim 張永添 BCK618 indi AAD291 Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
CHEUNG Wing Tim 張永添 BCK618 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 2022-09-23 00:00:00
SONG Weiguang 宋為光 BAZ639 indi APV768 GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 RE 9 Asset Management 提供資產管理 2022-09-23 00:00:00
SONG Weiguang 宋為光 BAZ639 indi APV768 GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
YEUNG Ho Chun 楊浩進 BAR653 indi BJI788 TNS Capital Management Limited RO 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
CHAN Ka Chun, Karl 陳家浚 BFF021 indi AAD350 Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 RO 6 Advising on Corporate Finance 就機構融資提供意見 2022-09-23 00:00:00
LAM King Kit 林敬傑 BHE161 indi BLJ905 Vered Asset Management Limited 薔薇資產管理有限公司 RO 9 Asset Management 提供資產管理 2022-09-23 00:00:00
LAM King Kit 林敬傑 BHE161 indi BLJ905 Vered Asset Management Limited 薔薇資產管理有限公司 RO 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
CHAN Wang 陳宏 BGO479 indi BPJ213 OSL Digital Securities Limited OSL數字證券有限公司 RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LEUNG Mei Shan 梁美珊 BIW785 indi BGP713 Forthright Securities Company Limited 方德證券有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2022-09-23 00:00:00
LI Yun 李韵 BHZ514 indi BAU373 China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 RE 5 Advising on Futures Contracts 就期貨合約提供意見 2022-09-23 00:00:00
PUN Yat Kan 潘一勤 BKW033 indi AWJ391 Cornucopiae Asset Management Limited 華豐資產管理有限公司 RE 9 Asset Management 提供資產管理 2022-09-23 00:00:00
PUN Yat Kan 潘一勤 BKW033 indi AWJ391 Cornucopiae Asset Management Limited 華豐資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
PUN Yat Kan 潘一勤 BKW033 indi AWJ391 Cornucopiae Asset Management Limited 華豐資產管理有限公司 RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
LI Junhui 李俊慧 BKT337 indi AVH864 Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 RE 9 Asset Management 提供資產管理 2022-09-23 00:00:00
LI Junhui 李俊慧 BKT337 indi AVH864 Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
LEE Pui Yee 李佩儀 BJZ506 indi BBZ266 Glory Sun Asset Management Limited 寶新資產管理有限公司 RO 9 Asset Management 提供資產管理 2022-09-23 00:00:00
LEE Pui Yee 李佩儀 BJZ506 indi BBZ266 Glory Sun Asset Management Limited 寶新資產管理有限公司 RO 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
WU Qintian 吴沁恬 BMX517 indi BRT520 CPPIB AE Investments Asia Limited RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
SHIMIZU Hiroyuki BPF013 indi AFF275 BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
SHIMIZU Hiroyuki BPF013 indi AFF275 BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
KWOK Chi Kit 郭子杰 BOX405 indi ABT330 Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 4 Advising on Securities 就證券提供意見 2022-09-23 00:00:00
KWOK Chi Kit 郭子杰 BOX405 indi ABT330 Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 1 Dealing in Securities 證券交易 2022-09-23 00:00:00
PARK Sunyeol BOP725 indi AAD291 Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 6 Advising on Corporate Finance 就機構融資提供意見 2022-09-23 00:00:00
WONG Ming Nok 黃銘諾 BOI700 indi AFK209 BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 RE 9 Asset Management 提供資產管理 2022-09-23 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