SFC principals details data

Up-to-date contact information of all Hong Kong SFC-licenced principals, including complaints officers

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princeref princeenglish princechinese is_ri is_corp emails websites addresses_other disactions addressenglish addresschinese complaints_tel complaints_fax complaints_email mineffdate maxeffdate minenddate maxenddate
AAA137 Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 false true ["{\"email\":\"wanda.yau@citi.com\"}"] ["{\"website\":\"www.citigroup.com\"}"] ["{\"fullAddress\":\"Citi Tower, One Bay East, 83 Hoi Bun Road, Kwun Tong, Kowloon, Hong... ["{\"actnDate\":\"Jan 28, 2022 12:00:00... 50/F Champion Tower, Three Garden Road, Central, Hong Kong 香港中環花園道三號冠君大廈五十樓 25012614 39611168 joanna.fung@citi.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-08 00:00:00 2024-07-26 00:00:00
AAC198 Merrill Lynch (Asia Pacific) Limited false true ["{\"email\":\"apaclicensing@bofa.com\"}"] ["{\"website\":\"https://www.bankofamerica.com/\"}"] ["{\"fullAddress\":\"Level 18-21 and Units 1-3, 5-9 Level 22, Tower B of Kowloon Commerce... [] Level 55 Cheung Kong Center, 2 Queen's Road Central, Central, Hong Kong 香港中環皇后大道中2號長江集團中心55樓 35088939 0 jade.fong@bofa.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-12 00:00:00 2024-07-26 00:00:00
AAD291 Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 false true ["{\"email\":\"hklicense@morganstanley.com\"}"] ["{\"website\":\"www.morganstanley.com\"}"] ["{\"fullAddress\":\"26/F Global Gateway, 168 Yeung Uk Road & 98 Wang Lung Street, Tsuen Wan... [] 30-32, 35-42 & 45-47 Floor Part of Floor 3, 8-9, International Commerce Centre, 1 Austin Road... 香港九龍柯士甸道西1號 環球貿易廣場3,8-9, 30-32,35-42,45-47樓 3963-1520 3407-9147 Espen.Marthinussen@morganstanley.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-05 00:00:00 2024-07-24 00:00:00
AAD401 Morgan Stanley Hong Kong Securities Limited false true ["{\"email\":\"hklicense@morganstanley.com\"}"] ["{\"website\":\"www.morganstanley.com\"}"] ["{\"fullAddress\":\"26/F Global Gateway, 168 Yeung Uk Road & 98 Wang Lung Street, Tsuen Wan New... [] 30-32, 35-42 & 45-47 Floor Part of Floor 3, 8-9, International Commerce Centre, 1 Austin Road... 香港九龍柯士甸道西1號環球貿易廣場3,8-9, 30-32,35-42,45-47樓 3963-1520 3407-9147 Espen.Marthinussen@morganstanley.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-06-18 00:00:00 2024-07-18 00:00:00
AAG715 Pictet Asset Management (Hong Kong) Limited 瑞士百達資產管理(香港)有限公司 false true ["{\"email\":\"pam_compliance_hkg@pictet.com\"}"] ["{\"website\":\"www.pictet.com\"}"] ["{\"fullAddress\":\"8/F & 9/F Chater House, 8 Connaught Road Central, Hong... [] 8/F & 9/F Chater House, 8 Connaught Road Central, Hong Kong 香港中環干諾道中8號遮打大廈8-9樓 31911878 31911899 wcheung@pictet.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-05-23 00:00:00 2024-07-12 00:00:00
AAJ095 Emperor Futures Limited 英皇期貨有限公司 false true ["{\"email\":\"esl.licensing@emperorgroup.com\"}"] ["{\"website\":\"www.emperorcapital.com\"}"] ["{\"fullAddress\":\"G/F-2/F, 525 Shanghai Street & 32D Shantung Street, Mongkok, Kowloon, Hong... ["{\"actnDate\":\"Mar 16, 2022 12:00:00... 23-24/F, Emperor Group Centre, 288 Hennessy Road, Wanchai, Hong Kong 香港灣仔軒尼詩道288號英皇集團中心23樓及24樓 28362609 25742622 esl.compliance@emperorgroup.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-30 00:00:00 2024-06-07 00:00:00
AAK877 Bloomyears Limited 昌萬年有限公司 false true ["{\"email\":\"bl@bloomyears.com.hk\"}"] ["{\"website\":\"bloomyears.com.hk\"}"] ["{\"fullAddress\":\"17/F., 208 Johnston, 206-212 Johnston Road, Wanchai, Hong... [] Office No.5A on 15/F, Cheong K. Building 84 & 86 Des Voeux Road Central, Hong Kong, Hong Kong Office No.5A on 15/F, Cheong K. Building 84 & 86 Des Voeux Road Central, Hong Kong, Hong Kong 25248826 ianchin@bloomyears.com.hk 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-08-19 00:00:00 2024-06-28 00:00:00
AAP057 Emperor Securities Limited 英皇證券有限公司 false true ["{\"email\":\"esl.licensing@emperorgroup.com\"}"] ["{\"website\":\"www.emperorcapital.com\"}"] ["{\"fullAddress\":\"G/F-2/F, 525 Shanghai Street & 32D Shantung Street, Mongkok, Kowloon, Hong... ["{\"actnDate\":\"Mar 16, 2022 12:00:00... 23/F-24/F, Emperor Group Centre, 288 Hennessy Road, Wanchai, Hong Kong 香港灣仔軒尼詩道288號英皇集團中心23樓及24樓 28362609 25742622 esl.compliance@emperorgroup.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-30 00:00:00 2024-06-07 00:00:00
ACC536 Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 false true ["{\"email\":\"hklicensing@gs.com\"}"] ["{\"website\":\"www.gs.com\"}"] ["{\"fullAddress\":\"68/F Cheung Kong Center, 2 Queen's Road Central, Hong... ["{\"actnDate\":\"Oct 22, 2020 12:00:00 AM\",\"codeDesc\":\"Public... 68/F Cheung Kong Center, 2 Queen's Road Central, Hong Kong 香港中環皇后大道中2號長江集團中心68樓 29781539 29780967 gs-reg-inquiries-apej@gs.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-02 00:00:00 2024-07-11 00:00:00
ACP555 Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 false true ["{\"email\":\"hkregcomp@manulife.com\"}"] ["{\"website\":\"www.manulifeim.com.hk\"}"] ["{\"fullAddress\":\"23/F, Manulife Tower, One Bay East, 83 Hoi Bun Road, Kwun Tong, Kowloon,... [] 10/F, Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong 香港銅鑼灣希慎道33號利園一期10樓 21081110 2907 5942 ann_sy_lee@manulife.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-04-14 00:00:00 2024-07-13 00:00:00
ACR387 Upbest Securities Company Limited 美建證券有限公司 false true ["{\"email\":\"info@upbest.com\"}"] ["{\"website\":\"www.upbest.com\"}"] ["{\"fullAddress\":\"2/F Wah Kit Commercial Centre, 302 Des Voeux Road Central, Hong... [] 2/F Wah Kit Commercial Centre, 302 Des Voeux Road Central, Hong Kong 香港中環德輔道中302號華傑商業中心2樓 25453298 25450120 foelan@upbest.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-07-03 00:00:00 2024-06-24 00:00:00
AEZ062 Glory Sun Securities Limited 寶新證券有限公司 false true ["{\"email\":\"licensing.sec@hk1282.com\"}"] ["{\"website\":\"hk1282sec.com\"}"] ["{\"fullAddress\":\"Room 2309, 23/F, China Resources Building, 26 Harbour Road, Wanchai, Hong... [] Room 2309, 23/F, China Resources Building, 26 Harbour Road, Wanchai, Hong Kong Room 2309, 23/F, China Resources Building, 26 Harbour Road, Wanchai, Hong Kong 23798888 28136618 compliance.mgt@hk1282.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-06-16 00:00:00 2024-03-22 00:00:00
AGP568 UBS Asset Management (Hong Kong) Limited false true ["{\"email\":\"ol-regulatorycompliance-hk@ubs.com\"}"] ["{\"website\":\"https://www.ubs.com/hk/en/assetmanagement.html\"}"] ["{\"fullAddress\":\"45 & 47-52/F Two International Finance Centre, 8 Finance Street, Central,... [] 45 & 47-52/F Two International Finance Centre, 8 Finance Street, Central, Hong Kong 香港中環金融街 8 號國際金融中心二期45 & 47-52樓 3712 3509 2971 6251 joanna-y.chan@ubs.com 2003-04-01T00:00:00 2024-07-26T00:00:00 2003-08-29 00:00:00 2024-07-06 00:00:00
AKO483 Brevan Howard (Hong Kong) Limited false true ["{\"email\":\"bhcompliance@brevanhoward.com\"}"] ["{\"website\":\"www.brevanhoward.com\"}"] ["{\"fullAddress\":\"Unit 5101, 51/F, Cheung Kong Center, 2 Queen's Road Central, Central &... [] Unit 5101, 51/F, Cheung Kong Center, 2 Queen's Road Central, Central & Western District, Hong... Unit 5101, 51/F, Cheung Kong Center, 2 Queen's Road Central, Central & Western District, Hong... 21005540 21005350 bhcompliance@brevanhoward.com 2004-07-12T00:00:00 2024-07-26T00:00:00 2004-12-22 00:00:00 2024-04-30 00:00:00
ANM673 Marshall Wace Asia Limited false true ["{\"email\":\"mwhk@mwam.com\"}"] ["{\"website\":\"www.mwam.com\"}"] ["{\"fullAddress\":\"23/F LHT Tower, 31 Queen's Road Central, Hong... [] 23/F LHT Tower, 31 Queen's Road Central, Hong Kong 香港中環皇后大道中31號陸海通大廈23樓 852 37615019 852 2973 6620 w.fu@mwam.com 2006-10-27T00:00:00 2024-07-26T00:00:00 2008-05-16 00:00:00 2024-07-22 00:00:00
ARP670 Emperor Wealth Management Limited 英皇財富管理有限公司 false true ["{\"email\":\"esl.compliance@emperorgroup.com\"}"] ["{\"website\":\"www.emperorcapital.com\"}"] ["{\"fullAddress\":\"G/F-2/F, 525 Shanghai Street, Mongkok, Kowloon, Hong... [] 23-24/F Emperor Group Centre, 288 Hennessy Road, Wanchai, Hong Kong 香港灣仔軒尼詩道288號英皇集團中心23-24樓 28362509 25742622 esl.compliance@emperorgroup.com 2009-06-09T00:00:00 2024-07-26T00:00:00 2010-01-15 00:00:00 2024-04-08 00:00:00
BDB792 Grandly Financial Services Limited 冠力金融服務有限公司 false true ["{\"email\":\"compliance@grandlyifg.com\"}"] ["{\"website\":\"www.grandlyifg.com\"}"] ["{\"fullAddress\":\"RM 1403, 14/F, Yue Xiu Building, 160-174 Lockhart Road, Wan Chai, Hong... [] RM 1403, 14/F, Yue Xiu Building, 160-174 Lockhart Road, Wan Chai, Hong Kong 香港灣仔駱克道 160-174 號越秀大廈14 樓 1403 室 27683800 37683808 michael.zhang@grandlyifg.com 2014-08-08T00:00:00 2024-07-26T00:00:00 2014-10-21 00:00:00 2024-07-07 00:00:00
BHX981 Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 false true ["{\"email\":\"hklicensing@gs.com\"}"] ["{\"website\":\"www.gs.com\"}"] ["{\"fullAddress\":\"68/F, Cheung Kong Center, 2 Queen's Road Central, Hong... [] 68/F, Cheung Kong Center, 2 Queen's Road Central, Hong Kong 香港中環皇后大道中2號長江集團中心68樓 2978 1539 2978 0967 gs-reg-inquiries-apej@gs.com 2016-10-11T00:00:00 2024-07-26T00:00:00 2016-10-19 00:00:00 2024-07-11 00:00:00
BJB333 Mirae Asset Securities (HK) Limited 未來資產證券(香港)有限公司 false true ["{\"email\":\"compliance@miraeasset.hk\"}"] ["{\"website\":\"miraeasset.hk\"}"] ["{\"fullAddress\":\"Units 8501, 8507-08, Level 85, International Commerce Centre, 1 Austin Road... [] Units 8501, 8507-08, Level 85, International Commerce Centre, 1 Austin Road West, Kowloon, Hong Kong 香港九龍柯士甸道西一號環球貿易廣場85樓 8501, 8507-08室 25141380 2845 5374 eddie.chi@miraeasset.hk 2017-03-01T00:00:00 2024-07-26T00:00:00 2017-04-30 00:00:00 2024-07-09 00:00:00
BIT752 Hammer Capital Asset Management Limited 黑馬資本資產管理有限公司 false true ["{\"email\":\"ben.wong@hammercapital.hk\"}"] ["{\"website\":\"www.hammercapital.hk\"}"] ["{\"fullAddress\":\"Suite 1901, 19/F, Lee Garden Three, 1 Sunning Road, Causeway Bay, Hong... [] Suite 1901, 19/F, Lee Garden Three, 1 Sunning Road, Causeway Bay, Hong Kong, Hong Kong Suite 1901, 19/F, Lee Garden Three, 1 Sunning Road, Causeway Bay, Hong Kong, Hong Kong 26609311 26606996 compliance@hammercapital.hk 2017-11-27T00:00:00 2024-07-26T00:00:00 2021-02-28 00:00:00 2024-06-28 00:00:00

Number of rows in the full dataset: 5,269