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 API or CSV download just buy a subscription below.

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Data preview (first 50 records)

nameenglish namechinese ceref indieo princeref princeenglish princechinese lcrole acttype actenglish actchinese effdate enddate
HARRIS Richard AAK411 indi BCL633 Boswell Capital Management Limited RO 9 Asset Management 提供資產管理 2022-01-28
LEUNG Chun Bong 梁振邦 AEK319 indi AED194 Planetree Securities Limited 梧桐證券有限公司 RO 1 Dealing in Securities 證券交易 2022-01-28
LEUNG Chun Bong 梁振邦 AEK319 indi AFB863 Planetree Futures Limited 梧桐期貨有限公司 RO 2 Dealing in Futures Contracts 期貨合約交易 2022-01-28
LEUNG Chun Bong 梁振邦 AEK319 indi BPJ458 Planetree Discount Lending Limited RO 8 Securities Margin Financing 提供證券保證金融資 2022-01-28
MOK Wai Yip 莫偉業 AFB437 indi BHC645 Zhonghui International Futures Company Limited 中輝國際期貨有限公司 RO 2 Dealing in Futures Contracts 期貨合約交易 2022-01-28
AUGIAS Cedric Alain Nicolas Marie AFS898 indi ADS177 BGC Securities (Hong Kong) LLC RO 1 Dealing in Securities 證券交易 2022-01-28
AUGIAS Cedric Alain Nicolas Marie AFS898 indi ADS177 BGC Securities (Hong Kong) LLC RO 2 Dealing in Futures Contracts 期貨合約交易 2022-01-28
AUGIAS Cedric Alain Nicolas Marie AFS898 indi ADS246 GFI (HK) Securities L.L.C. RO 1 Dealing in Securities 證券交易 2022-01-28
AUGIAS Cedric Alain Nicolas Marie AFS898 indi ADS246 GFI (HK) Securities L.L.C. RO 2 Dealing in Futures Contracts 期貨合約交易 2022-01-28
TSANG Yin Kan 曾燕勤 AGP156 indi AGL796 Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
TSANG Yin Kan 曾燕勤 AGP156 indi AGL796 Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
WAN Cheuk Wai 尹焯偉 AHU753 indi ABG074 VC Brokerage Limited 滙盈證券有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
YU Xiaoling 余曉玲 ANP305 indi BPX066 Long Bridge HK Limited 長橋證券(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
YU Xiaoling 余曉玲 ANP305 indi BPX066 Long Bridge HK Limited 長橋證券(香港)有限公司 RE 9 Asset Management 提供資產管理 2022-01-28
WANG Yimin 王逸旻 APN587 indi AAB893 CLSA Limited 中信里昂證券有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
WANG Yimin 王逸旻 APN587 indi AAK249 CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
WANG Yimin 王逸旻 APN587 indi AAK249 CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 6 Advising on Corporate Finance 就機構融資提供意見 2022-01-28
LIM Robert Warren 林華銓 ARJ311 indi BOD272 Nebula Asset Management Limited 臻一資產管理有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
LIM Robert Warren 林華銓 ARJ311 indi BOD272 Nebula Asset Management Limited 臻一資產管理有限公司 RE 9 Asset Management 提供資產管理 2022-01-28
PINSET Victor Balthazar ARQ494 indi BJF060 Maven Asia (Hong Kong) Limited RE 1 Dealing in Securities 證券交易 2022-01-28
PINSET Victor Balthazar ARQ494 indi BJF060 Maven Asia (Hong Kong) Limited RE 2 Dealing in Futures Contracts 期貨合約交易 2022-01-28
WAN Hung Ha 尹紅霞 AUQ942 indi AEO675 Cheer Union Securities Limited 滿好證券有限公司 RO 1 Dealing in Securities 證券交易 2022-01-28
YAO Hua 姚華 AVD363 indi AVH864 Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 RO 4 Advising on Securities 就證券提供意見 2022-01-28
YUAN Jingna 袁菁娜 AVR360 indi BFU406 Goldhorse Securities Limited 金馬證券有限公司 RO 1 Dealing in Securities 證券交易 2022-01-28
YUAN Jingna 袁菁娜 AVR360 indi BFU406 Goldhorse Securities Limited 金馬證券有限公司 RO 4 Advising on Securities 就證券提供意見 2022-01-28
HU Weiwei 胡瑋瑋 AWQ269 indi AEN894 China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
HU Weiwei 胡瑋瑋 AWQ269 indi AEN894 China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 6 Advising on Corporate Finance 就機構融資提供意見 2022-01-28
HUI Wah Keung 許華強 AZD528 indi BDW926 Pickers Capital Management Limited 鵬格斯資產管理有限公司 RE 9 Asset Management 提供資產管理 2022-01-28
YU Mao 于昴 BAN026 indi AEN894 China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
YU Mao 于昴 BAN026 indi AEN894 China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
YU Mao 于昴 BAN026 indi AEN894 China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 6 Advising on Corporate Finance 就機構融資提供意見 2022-01-28
ZHENG Jie 鄭劼 BBN074 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 2022-01-28
ZHENG Jie 鄭劼 BBN074 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 2022-01-28
ZHENG Jie 鄭劼 BBN074 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 2022-01-28
ZENG Fang 曾方 BFC671 indi AOK809 Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
ZENG Fang 曾方 BFC671 indi AOK809 Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
ZENG Fang 曾方 BFC671 indi AOK809 Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 9 Asset Management 提供資產管理 2022-01-28
HUANG Tan 黃坦 BFK469 indi BMH738 SunPlus Capital Limited 新領資本有限公司 RO 4 Advising on Securities 就證券提供意見 2022-01-28
HUANG Tan 黃坦 BFK469 indi BMH738 SunPlus Capital Limited 新領資本有限公司 RO 9 Asset Management 提供資產管理 2022-01-28
ZHONG Jing 鍾婧 BHU874 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 2022-01-28
ZHONG Jing 鍾婧 BHU874 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 2022-01-28
ZHU Qi 朱启 BIH729 indi AVH864 Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 RO 4 Advising on Securities 就證券提供意見 2022-01-28
CAI Jinge 蔡金戈 BIK509 indi BHF761 SR Wealth Securities Limited 中富證券有限公司 RE 2 Dealing in Futures Contracts 期貨合約交易 2022-01-28
WANG Ting 王町 BIR267 indi BAV573 TFI Securities and Futures Limited 天風國際證券與期貨有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
CAI Linde 蔡霖德 BMO703 indi BJH199 Po Tai Securities (Hong Kong) Limited 寶泰證券(香港)有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28
CAI Linde 蔡霖德 BMO703 indi BJH199 Po Tai Securities (Hong Kong) Limited 寶泰證券(香港)有限公司 RE 4 Advising on Securities 就證券提供意見 2022-01-28
ZHAO Guodong 赵国栋 BNF142 indi AVH864 Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 RO 4 Advising on Securities 就證券提供意見 2022-01-28
GUO Ning 郭宁 BNU923 indi BOR177 Brimstone Asset Management Company Limited RO 4 Advising on Securities 就證券提供意見 2022-01-28
GUO Ning 郭宁 BNU923 indi BOR177 Brimstone Asset Management Company Limited RO 9 Asset Management 提供資產管理 2022-01-28
CHI Fengting 池峰挺 BPT471 indi AEN894 China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 1 Dealing in Securities 證券交易 2022-01-28

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 integer Number of SFC licence type
actenglish text
actchinese text
effdate date Start of licence
enddate date End of licence