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LAI Chun Ying 賴進英 AAA011 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Elstone Securities Limited", "prinCeNameChin": "\u5343\u91cc\u78a9\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACX624", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 3, 2003 12:00:00 AM", "endDate": "Nov 9, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 1, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 1, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 1, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Secu… 2020-12-24 12:28:24 indi
WONG Chung Sing, Xavier 黃仲聖 AAA012 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "UBP Asset Management Asia Limited", "prinCeNameChin": "\u745e\u58eb\u806f\u5408\u8cc7\u7522\u7ba1\u7406\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AOB278", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Dec 15, 2010 12:00:00 AM", "endDate": "Sep 19, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Generali Investments Asia Limited", "prinCeNameChin": "\u5fe0\u5229\u6295\u8cc7\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AME383", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 1, 2008 12:00:00 AM", "endDate": "Aug 6, 2010 12:00:00 AM"}, {"effectiveDate": "Dec 28, 2007 12:00:00 AM", "endDate": "May 20, 2008 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "BNP Paribas Dealing Services Asia Limited", "prinCeNameChin": "\u6cd5\u570b\u5df4\u9ece\u91d1\u878d\u4ea4\u6613\u670d\u52d9\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK771", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 31, 2007 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "BNP Paribas Dealing Services Asia Limited", "prinCeNameChin": "\u6cd5\u570b\u5df4\u9ece\u91d1\u878d\u4ea4\u6613\u670d\u52d9\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK771", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Secur… 2020-12-24 22:31:21 indi
MA Mui Chu 馬梅珠 AAA013 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Stellar Securities Limited", "prinCeNameChin": "\u6046\u661f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEJ390", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 22, 2018 12:00:00 AM", "endDate": "Apr 16, 2021 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "OnePlatform Securities Limited", "prinCeNameChin": "\u74b0\u4e00\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABK353", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 15, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "OnePlatform Securities Limited", "prinCeNameChin": "\u74b0\u4e00\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABK353", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 22, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "OnePlatform Securities Limited", "prinCeNameChin": "\u74b0\u4e00\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABK353", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 22, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeN… 2021-06-11 17:40:48 indi
NG Siu Wai 伍兆煒 AAA014 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Luen Fat Securities Company Limited", "prinCeNameChin": "\u806f\u767c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG378", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 21, 2005 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 21, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 21, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 19, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company… 2021-06-11 17:53:55 indi
TSIEN David 錢柏昌 AAA015 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "J.P. Morgan Broking (Hong Kong) Limited", "prinCeNameChin": null, "prinCeRef": "AAB027", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 21, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "J.P. Morgan Broking (Hong Kong) Limited", "prinCeNameChin": null, "prinCeRef": "AAB027", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 21, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "J.P. Morgan Securities (Far East) Limited", "prinCeNameChin": null, "prinCeRef": "AAB026", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 5, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "J.P. Morgan Securities (Far East) Limited", "prinCeNameChin": null, "prinCeRef": "AAB026", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 23, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "J.P. Morgan Broking (Hong Kong) Limited", "prinCeNameChin": null, "prinCeRef": "AAB027", "lcType": null, "regulatedA… 2020-12-25 00:43:04 indi
TANG Chi Cheung 鄧志章 AAA018 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Luen Fat Securities Company Limited", "prinCeNameChin": "\u806f\u767c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG378", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2005 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 31, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 17, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 17, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "K. L. Securities Company"… 2021-06-11 19:04:53 indi
CHONG Kui Wah   AAA021 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Core Pacific - Yamaichi International (H.K.) Limited", "prinCeNameChin": "\u4eac\u83ef\u5c71\u4e00\u570b\u969b(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "BHM090", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 1, 2016 12:00:00 AM", "endDate": "Dec 1, 2018 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Core Pacific - Yamaichi International (H.K.) Limited", "prinCeNameChin": "\u4eac\u83ef\u5c71\u4e00\u570b\u969b(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG436", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 30, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Core Pacific-Yamaichi Securities (H.K.) Limited", "prinCeNameChin": "\u4eac\u83ef\u5c71\u4e00\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABH177", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 30, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Core Pacific - Yamaichi International (H.K.) Limited", "prinCeNameChin": "\u4eac\u83ef\u5c71\u4e00\u570b\u969b(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG436", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effe… 2020-12-24 05:38:20 indi
MO Loong Kwong 繆隆光 AAA024 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Luen Fat Securities Company Limited", "prinCeNameChin": "\u806f\u767c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG378", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 26, 2005 12:00:00 AM", "endDate": "Jul 12, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Luen Fat Securities Company Limited", "prinCeNameChin": "\u806f\u767c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG378", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 12, 2005 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 31, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6de6\u806f\u8b49\u5238\u6295\u8cc7\u516c\u53f8", "prinCeRef": "AAA022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 15, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "K. L. Securities Company", "prinCeNameChin": "\u6d… 2021-06-11 17:40:46 indi
GO Ai Hwa 吳媛華 AAA027 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 6, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 21, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 21, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 21, 2005 12:00:00 AM"}]}] 2020-12-24 18:04:22 indi
CHEN Wah Nam 陳華南 AAA030 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 18, 2008 12:00:00 AM", "endDate": null}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 29, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 29, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 29, 20… 2021-06-12 02:28:26 indi
YU Wah Foo, Kevin 余華富 AAA034 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Tung Shing Securities (Brokers) Limited", "prinCeNameChin": "\u6771\u76db\u8b49\u5238(\u7d93\u7d00)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACP065", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 20, 2016 12:00:00 AM", "endDate": "Feb 12, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "SinoPac Securities (Asia) Limited", "prinCeNameChin": "\u6c38\u8c50\u91d1\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACD026", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 28, 2016 12:00:00 AM", "endDate": "Jun 15, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "BOCOM International Securities Limited", "prinCeNameChin": "\u4ea4\u9280\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "APJ121", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 27, 2008 12:00:00 AM", "endDate": "Jan 12, 2015 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Haitong International Securities Company Limited", "prinCeNameChin": "\u6d77\u901a\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAF806", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 18, 2008 12:00:00 AM"}]}, … 2021-06-11 20:09:51 indi
KWAN Kit Hing 關潔馨 AAA039 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Get Nice Securities Limited", "prinCeNameChin": "\u7d50\u597d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA847", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "May 31, 2010 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 8, 2010 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 29, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 29, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "North Sea Securities … 2021-06-12 02:00:38 indi
KAM Kwong Ning 甘廣寧 AAA043 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 6, 2018 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 28, 2003 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 28, 2003 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 28, 2003 12:00:00 AM"}]}] 2020-12-24 17:32:20 indi
NG Hay Ping 吳熹平 AAA049 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Mayfair & Ayers Financial Group Limited", "prinCeNameChin": "\u5cf0\u6ed9\u91d1\u878d\u96c6\u5718\u6709\u9650\u516c\u53f8", "prinCeRef": "AMV148", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 1, 2018 12:00:00 AM", "endDate": "Feb 7, 2018 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beevest Securities Limited", "prinCeNameChin": "\u8702\u6295\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABM126", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 5, 2006 12:00:00 AM", "endDate": "Aug 11, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU347", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 13, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beevest Securities Limited", "prinCeNameChin": "\u8702\u6295\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABM126", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 5, 2006 12:00:00 AM", "endDate": "Aug 11, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Futures (Hong … 2021-06-11 17:53:55 indi
LAU Man Yee, Maria 劉曼儀 AAA051 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 21, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 21, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "North Sea Securities Limited", "prinCeNameChin": "\u7acb\u751f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACI593", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 21, 2004 12:00:00 AM"}]}] 2021-06-12 01:56:06 indi
NG Kam Shing 吳金城 AAA057 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Christfund Securities Limited", "prinCeNameChin": "\u6052\u8c50\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAY133", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 17, 2005 12:00:00 AM", "endDate": "Dec 8, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Christfund Securities Limited", "prinCeNameChin": "\u6052\u8c50\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAY133", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Dec 8, 2005 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Wintech Securities Limited", "prinCeNameChin": "\u76c8\u6cf0\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AGG275", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 15, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Wintech Securities Limited", "prinCeNameChin": "\u76c8\u6cf0\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AGG275", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 17, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Wintech Securities Limited", "prinCeNameChin": "\u76c8\u6cf0… 2021-06-11 17:53:51 indi
KWOK Wood Yan 郭活恩 AAA058 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tiffit Securities (Hong Kong) Limited", "prinCeNameChin": "\u5927\u767c\u8a3c\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AGL042", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 18, 2006 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tiffit Securities (Hong Kong) Limited", "prinCeNameChin": "\u5927\u767c\u8a3c\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AGL042", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 18, 2006 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tiffit Securities (Hong Kong) Limited", "prinCeNameChin": "\u5927\u767c\u8a3c\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AGL042", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 18, 2006 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Tiffit Securities (Hong Kong) Limited", "prinCeNameChin": "\u5927\u767c\u8a3c\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AGL042", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 7, "actDesc": "Providing Automated Trading Services", "cactDesc": "\u63d0\u4f9b\u81ea\u52d5\u5316\u4ea4\u6613\u670d\u52d9"}, "effectivePeriodList": [… 2020-12-24 17:32:20 indi
CHAN Mei Chi, Angela 陳美緻 AAA059 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin": "\u6469\u6839\u57fa\u91d1(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA135", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 22, 2015 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin": "\u6469\u6839\u57fa\u91d1(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA135", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 15, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin": "\u6469\u6839\u57fa\u91d1(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA135", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 15, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin": "\u6469\u6839\u57fa\u91d1(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA135", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 15, 2004 … 2020-12-24 05:38:16 indi
VAN Tak Sun, Winston 萬德生 AAA062 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Hou Tak Securities Limited", "prinCeNameChin": "\u539a\u5fb7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABN233", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 2, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "WTV Global Investments Management Limited", "prinCeNameChin": null, "prinCeRef": "AAW888", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 1, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Hou Tak Securities Limited", "prinCeNameChin": "\u539a\u5fb7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABN233", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 7, 2003 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "WTV Global Investments Management Limited", "prinCeNameChin": null, "prinCeRef": "AAW888", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 1, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "WTV Global Investments Management Limited", "prinCeNa… 2020-12-25 00:46:17 indi
WHITE Mark Barry Ewart   AAA066 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "LGT Capital Partners (Asia-Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AIP439", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Oct 14, 2005 12:00:00 AM", "endDate": "Nov 14, 2008 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Asset Management (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAA121", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 29, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Asset Management (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAA121", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 6, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Asset Management (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAA121", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 29, 2004 12:00:00 AM"}]}] 2020-12-24 22:31:20 indi
TSANG On Bong, Eric 曾安邦 AAA072 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lehman Brothers Asia Limited", "prinCeNameChin": "\u7f8e\u570b\u96f7\u66fc\u5144\u5f1f\u4e9e\u6d32\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE689", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 1, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lehman Brothers Asia Limited", "prinCeNameChin": "\u7f8e\u570b\u96f7\u66fc\u5144\u5f1f\u4e9e\u6d32\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE689", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 9, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lehman Brothers Asia Limited", "prinCeNameChin": "\u7f8e\u570b\u96f7\u66fc\u5144\u5f1f\u4e9e\u6d32\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE689", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 9, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lehman Brothers Asia Limited", "prinCeNameChin": "\u7f8e\u570b\u96f7\u66fc\u5144\u5f1f\u4e9e\u6d32\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE689", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 7, "actDesc": "Providing Automated Trading Services", "cactDesc": "\u63d0\u4f9b\u81ea\u52d5\u5316\u4… 2020-12-25 00:43:01 indi
CHEUNG Tsz Hong 張子康 AAA081 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sincere Securities Limited", "prinCeNameChin": "\u8a0a\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABH659", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 19, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sincere Securities Limited", "prinCeNameChin": "\u8a0a\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABH659", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 23, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sincere Securities Limited", "prinCeNameChin": "\u8a0a\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABH659", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 23, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sincere Securities Limited", "prinCeNameChin": "\u8a0a\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABH659", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 23, 2004 12:00:00 AM"}]}] 2020-12-24 05:38:15 indi
MAN Hon Yeung 文漢陽 AAA082 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Man Hon Yeung Securities Limited", "prinCeNameChin": "\u6587\u6f22\u63da\u8a3c\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFP052", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}] 2021-06-11 17:40:46 indi
LIM John Barclay 林坤海 AAA085 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "South China Securities Limited", "prinCeNameChin": "\u5357\u83ef\u8b49\u5238\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA874", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 9, 2009 12:00:00 AM", "endDate": "Jun 1, 2010 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "South China Research Limited", "prinCeNameChin": "\u5357\u83ef\u8cc7\u6599\u7814\u7a76\u6709\u9650\u516c\u53f8", "prinCeRef": "AAI619", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Feb 9, 2009 12:00:00 AM", "endDate": "Jun 1, 2010 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "South China Capital Limited", "prinCeNameChin": "\u5357\u83ef\u878d\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAI635", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Feb 9, 2009 12:00:00 AM", "endDate": "Jun 1, 2010 12:00:00 AM"}]}] 2020-12-24 12:28:23 indi
LEUNG Winston 梁浩章 AAA091 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Gear Asset Management Limited", "prinCeNameChin": "\u57fa\u8000\u8cc7\u7522\u7ba1\u7406\u6709\u9650\u516c\u53f8 ", "prinCeRef": "AQG413", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Feb 19, 2008 12:00:00 AM", "endDate": "Sep 1, 2018 12:00:00 AM"}]}] 2020-12-25 03:31:06 indi
THOMAS Robert Heriot Lindsay   AAA095 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Access Investment Management (H.K.) Limited", "prinCeNameChin": "\u5b89\u4fe1\u6295\u8cc7\u7ba1\u7406(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AEE189", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Platinum Securities Company Limited", "prinCeNameChin": "\u767e\u5fb7\u80fd\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADD976", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 18, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Access Investment Management (H.K.) Limited", "prinCeNameChin": "\u5b89\u4fe1\u6295\u8cc7\u7ba1\u7406(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AEE189", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Dec 23, 2011 12:00:00 AM", "endDate": null}, {"effectiveDate": "Jun 14, 2006 12:00:00 AM", "endDate": "Oct 13, 2009 12:00:00 AM"}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 18, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Access Investment Management (H.K.) Limited", "prinCeNameChin": "\u5b89\u4fe1\u6295\u8cc7\u7ba1\u7406(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AEE189", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "sta… 2021-06-11 21:11:06 indi
HUIE Allen Tat Yan 許達仁 AAA106 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "ATH Capital Management Limited", "prinCeNameChin": null, "prinCeRef": "BOD600", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Sep 26, 2019 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Gear Asset Management Limited", "prinCeNameChin": "\u57fa\u8000\u8cc7\u7522\u7ba1\u7406\u6709\u9650\u516c\u53f8 ", "prinCeRef": "AQG413", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Feb 19, 2008 12:00:00 AM", "endDate": "Sep 1, 2018 12:00:00 AM"}]}] 2021-06-11 21:30:32 indi
CHEUNG Siu Ching 張兆楨 AAA107 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "New Gala Securities Company Limited", "prinCeNameChin": "\u65b0\u57fa\u7acb\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AJG225", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 2, 2004 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "New Gala Securities Company", "prinCeNameChin": "\u65b0\u57fa\u7acb\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAA118", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 2, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "New Gala Securities Company", "prinCeNameChin": "\u65b0\u57fa\u7acb\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAA118", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 2, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "New Gala Securities Company", "prinCeNameChin": "\u65b0\u57fa\u7acb\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAA118", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 15, 2003 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "New Gala Securities Company", … 2021-06-12 02:50:14 indi
CHAN Vai Ha, Janet 陳惠霞 AAA111 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Central Wealth Securities Investment Limited", "prinCeNameChin": "\u4e2d\u9054\u8b49\u5238\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AVE583", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 28, 2017 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "CMBC Securities Company Limited", "prinCeNameChin": "\u6c11\u9280\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "APU820", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 25, 2011 12:00:00 AM", "endDate": "Nov 19, 2014 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Oriental Wealth Securities Limited", "prinCeNameChin": "\u6771\u65b9\u6ed9\u5bcc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ARJ116", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 3, 2010 12:00:00 AM", "endDate": "Sep 1, 2011 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Roofer Securities Limited", "prinCeNameChin": "\u8def\u83ef\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AER871", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 2, 2008 12:00:00 AM", "endDate": "Aug 28, 2008 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lehin Securities Limited", "pr… 2021-06-12 02:50:14 indi
MA Kam Oi, Vandy 馬金愛 AAA116 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 12, 2015 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 28, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 28, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Tai Ning Stock Company Limited", "prinCeNameChin": "\u5927\u5be7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEK991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 28, 2003 12:00:00 AM"}]}] 2020-12-24 19:18:19 indi
ARCULLI Kim Melanie   AAA119 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Mizuho Securities Asia Limited", "prinCeNameChin": "\u745e\u7a57\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AEZ953", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 16, 2010 12:00:00 AM", "endDate": "Jul 25, 2011 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "CLSA Limited", "prinCeNameChin": "\u4e2d\u4fe1\u91cc\u6602\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAB893", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 3, 2007 12:00:00 AM", "endDate": "Apr 24, 2009 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Deutsche Securities Asia Limited", "prinCeNameChin": "\u5fb7\u610f\u5fd7\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AAJ984", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 5, 2004 12:00:00 AM", "endDate": "May 25, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "CLSA Futures Limited", "prinCeNameChin": "\u91cc\u6602\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAZ733", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 3, 2007 12:00:00 AM", "endDate": "Jul 31, 2007 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Mizuho Secu… 2020-12-24 14:05:53 indi
CHEUNG Chui Shan, Eliza 張翠珊 AAA130 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Global Credit Securities Limited", "prinCeNameChin": "\u50d1\u7acb\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABF006", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 1, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Global Credit Securities Limited", "prinCeNameChin": "\u50d1\u7acb\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABF006", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 27, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Global Credit Securities Limited", "prinCeNameChin": "\u50d1\u7acb\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABF006", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 27, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Global Credit Securities Limited", "prinCeNameChin": "\u50d1\u7acb\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABF006", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 27, 2003 12:00:00 AM"}]}] 2020-12-24 05:38:13 indi
CHUANG Eugene Yue-chien 莊友堅 AAA132 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Oshidori Corporate Finance Limited", "prinCeNameChin": "\u5a01\u83ef\u9054\u878d\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "ADR456", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Sep 9, 2004 12:00:00 AM", "endDate": "Aug 5, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Oshidori Corporate Finance Limited", "prinCeNameChin": "\u5a01\u83ef\u9054\u878d\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "ADR456", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Aug 5, 2005 12:00:00 AM", "endDate": "Mar 1, 2010 12:00:00 AM"}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 7, 2004 12:00:00 AM"}]}] 2020-12-25 09:17:35 indi
CHAN Hin Wing 陳顯榮 AAA133 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hermes Securities Limited", "prinCeNameChin": "\u51f1\u654f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEU219", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hermes Securities Limited", "prinCeNameChin": "\u51f1\u654f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEU219", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 20, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hermes Securities Limited", "prinCeNameChin": "\u51f1\u654f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEU219", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 20, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hermes Securities Limited", "prinCeNameChin": "\u51f1\u654f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEU219", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 20, 2005 12:00:00 AM"}]}] 2021-06-12 02:50:13 indi
KAM Yan Sang 甘仁生 AAA136 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "BOCI Securities Limited", "prinCeNameChin": "\u4e2d\u9280\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC298", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Sep 13, 2012 12:00:00 AM", "endDate": "Nov 15, 2013 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "BOCI Securities Limited", "prinCeNameChin": "\u4e2d\u9280\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC298", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Sep 13, 2012 12:00:00 AM", "endDate": "Nov 15, 2013 12:00:00 AM"}]}] 2020-12-24 17:32:18 indi
HSU May Lie, Rebecca 徐美莉 AAA138 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Anli Securities Limited", "prinCeNameChin": "\u5b89\u91cc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AED024", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 1, 2013 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Anli Securities Limited", "prinCeNameChin": "\u5b89\u91cc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AED024", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 24, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Anli Securities Limited", "prinCeNameChin": "\u5b89\u91cc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AED024", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 24, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Anli Securities Limited", "prinCeNameChin": "\u5b89\u91cc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AED024", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 24, 2004 12:00:00 AM"}]}] 2020-12-24 14:32:38 indi
CHAU Li Hau 周李厚 AAA142 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Nittan Securities Asia Limited", "prinCeNameChin": "\u6ea2\u52dd\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ACD077", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 7, 2010 12:00:00 AM", "endDate": "Jun 25, 2010 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Rifa Securities Limited", "prinCeNameChin": "\u65e5\u767c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA537", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 22, 2007 12:00:00 AM", "endDate": "Dec 24, 2007 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Nittan Securities Asia Limited", "prinCeNameChin": "\u6ea2\u52dd\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ACD077", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 25, 2010 12:00:00 AM", "endDate": "Sep 15, 2011 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Cepa Alliance Securities Limited", "prinCeNameChin": "\u4e16\u535a\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AHF861", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 19, 2010 12:00:00 AM", "endDate": "May 31, 2010 12:00:00 AM"}, {"effectiveDate": "Jun 20, 2007 12:00:00 AM", "endDate": "Nov 9, 2007 12:00:00 … 2020-12-24 05:38:11 indi
MA Ching Sau, Amy 馬清秀 AAA152 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Montgomery Securities Limited", "prinCeNameChin": "\u842c\u91d1\u4f86\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC556", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Montgomery Securities Limited", "prinCeNameChin": "\u842c\u91d1\u4f86\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC556", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Montgomery Securities Limited", "prinCeNameChin": "\u842c\u91d1\u4f86\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC556", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 21, 2003 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Montgomery Securities Limited", "prinCeNameChin": "\u842c\u91d1\u4f86\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC556", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 21, 2003 12:00:00 AM"}]}] 2021-06-11 17:40:47 indi
WONG Chung Mun 黃仲文 AAA153 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Guotai Junan Securities (Hong Kong) Limited", "prinCeNameChin": "\u570b\u6cf0\u541b\u5b89\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABY236", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Sep 5, 2018 12:00:00 AM", "endDate": "Sep 5, 2018 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "BOCI Securities Limited", "prinCeNameChin": "\u4e2d\u9280\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC298", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 2, 2004 12:00:00 AM", "endDate": "Feb 3, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Haitong International Securities Company Limited", "prinCeNameChin": "\u6d77\u901a\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAF806", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 22, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "iBest Securities Company Limited", "prinCeNameChin": null, "prinCeRef": "AEB314", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 22, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Guotai Junan Future… 2021-06-11 19:42:59 indi
KWONG Kam Wing, Paul 鄺錦榮 AAA154 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Win Wong Securities Limited", "prinCeNameChin": "\u5b8f\u65fa\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABE941", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 16, 2006 12:00:00 AM", "endDate": "Mar 14, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Clover Securities Company Limited", "prinCeNameChin": "\u9ad8\u92d2\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACH142", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 1, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Clover Securities Company Limited", "prinCeNameChin": "\u9ad8\u92d2\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACH142", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 18, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Clover Securities Company Limited", "prinCeNameChin": "\u9ad8\u92d2\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACH142", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 18, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null,… 2020-12-24 17:32:18 indi
CHEUNG Hung Fat 張洪發 AAA157 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU347", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Sep 21, 2016 12:00:00 AM", "endDate": "Nov 8, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Trinity Securities Co. Limited", "prinCeNameChin": "\u88d5\u901a\u8a3c\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AXF022", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 29, 2016 12:00:00 AM", "endDate": "Sep 12, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Merrill Lynch (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAC198", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 29, 2015 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Merrill Lynch Far East Limited", "prinCeNameChin": null, "prinCeRef": "AAC352", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 29, 2015 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Merrill Lynch (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAC198", "lcType": null, "regulatedActivity": {"effDate":… 2021-06-11 22:46:04 indi
TSAI Annie 蔡三妮 AAA163 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Winland Wealth Management Limited", "prinCeNameChin": "\u6c38\u806f\u8ca1\u5bcc\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AIH361", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Sep 23, 2016 12:00:00 AM", "endDate": "Jan 31, 2018 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "China Renaissance Broking Services (Hong Kong) Limited", "prinCeNameChin": "\u83ef\u8208\u91d1\u878d\u670d\u52d9(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABY953", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 25, 2016 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "China Renaissance Broking Services (Hong Kong) Limited", "prinCeNameChin": "\u83ef\u8208\u91d1\u878d\u670d\u52d9(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABY953", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 15, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "China Renaissance Broking Services (Hong Kong) Limited", "prinCeNameChin": "\u83ef\u8208\u91d1\u878d\u670d\u52d9(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABY953", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u6… 2020-12-25 00:43:00 indi
LAU Ping Kwong 劉炳光 AAA166 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Glory Sun Securities Limited", "prinCeNameChin": "\u5bf6\u65b0\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEZ062", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 2, 2011 12:00:00 AM", "endDate": "Dec 19, 2019 12:00:00 AM"}, {"effectiveDate": "Aug 15, 2005 12:00:00 AM", "endDate": "Mar 1, 2011 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Fulbright Securities Limited", "prinCeNameChin": "\u5bcc\u660c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFB820", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 3, 2011 12:00:00 AM", "endDate": "Oct 29, 2011 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 12, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 11, 2003 12:00:00 AM"}]}, {"lcRol… 2020-12-24 12:28:21 indi
TO Man Hung, Morris 杜文鴻 AAA167 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Hong Kong) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA530", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Forex (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u5916\u532f(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACL069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 3, "actDesc": "Leveraged Foreign Exchange Trading", "cactDesc": "\u69d3\u687f\u5f0f\u5916\u532f\u4ea4\u6613"}, "effectivePeri… 2020-12-25 00:42:58 indi
FUNG Yiu Man 馮耀文 AAA170 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "East Asia Securities Company Limited", "prinCeNameChin": "\u6771\u4e9e\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE876", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 3, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "East Asia Securities Company Limited", "prinCeNameChin": "\u6771\u4e9e\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE876", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 26, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "East Asia Securities Company Limited", "prinCeNameChin": "\u6771\u4e9e\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE876", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 26, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "East Asia Securities Company Limited", "prinCeNameChin": "\u6771\u4e9e\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAE876", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 7, "actDesc": "Providing Automated Trading Services", "cactDesc": "\u63d0\u4f9b\u81ea\u52d5\u5316\u4ea4\u6613\u670d\u52d9"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug … 2020-12-24 16:12:55 indi
LEUNG Kok Sun, Sunny 梁覺新 AAA171 [] 2020-12-24 12:28:20 indi
TO Man Fai 杜文輝 AAA174 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 16, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 17, 2006 12:00:00 AM", "endDate": null}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 16, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Forex (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u5916\u532f(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACL069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 3, "actDesc": "Leveraged Foreign Exchange Trading", "cactDesc": "\u69d3\u687f\u5f0f\u5916\u532f\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 16, 2014 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDes… 2021-06-12 01:01:07 indi
WONG Chi Chu 黃志珠 AAA177 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ramon Investment Company Limited", "prinCeNameChin": "\u5049\u6c11\u8a3c\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AGH803", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ramon Investment Company Limited", "prinCeNameChin": "\u5049\u6c11\u8a3c\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AGH803", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 7, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ramon Investment Company Limited", "prinCeNameChin": "\u5049\u6c11\u8a3c\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AGH803", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 7, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ramon Investment Company Limited", "prinCeNameChin": "\u5049\u6c11\u8a3c\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AGH803", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 7, 2004 12:00:00 AM"}]}] 2021-06-11 19:42:58 indi
LUM So Fan 林素芬 AAA180 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Allianz Global Investors Asia Pacific Limited", "prinCeNameChin": null, "prinCeRef": "BFE699", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 1, 2015 12:00:00 AM", "endDate": "Jun 30, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Allianz Global Investors Hong Kong Limited", "prinCeNameChin": null, "prinCeRef": "AAF936", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 20, 2014 12:00:00 AM", "endDate": "May 31, 2015 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Allianz Global Investors Asia Pacific Limited", "prinCeNameChin": null, "prinCeRef": "BFE699", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jun 1, 2015 12:00:00 AM", "endDate": "Jun 30, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Allianz Global Investors Hong Kong Limited", "prinCeNameChin": null, "prinCeRef": "AAF936", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Aug 20, 2014 12:00:00 AM", "endDate": "May 31, 2015 12:00:00 AM"}]}] 2020-12-24 12:28:18 indi
KWONG Ping Wai 鄺平威 AAA181 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Zhong Yang Securities Limited", "prinCeNameChin": "\u4e2d\u967d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "BGT529", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Dec 3, 2019 12:00:00 AM", "endDate": "Jan 14, 2020 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Kaiser Futures Limited", "prinCeNameChin": "\u5609\u4fe1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "ADB079", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 31, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Kaiser Futures Limited", "prinCeNameChin": "\u5609\u4fe1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "ADB079", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 18, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Kaiser Futures Limited", "prinCeNameChin": "\u5609\u4fe1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "ADB079", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 18, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Zhong Ya… 2021-06-12 01:30:46 indi
LI Kai Yin 李啟賢 AAA183 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "BKJ214", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 21, 2018 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Rich Pleasure Securities Limited", "prinCeNameChin": "\u5bcc\u6b23\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABA007", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 2, 2017 12:00:00 AM", "endDate": "Feb 1, 2018 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU347", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Dec 10, 2013 12:00:00 AM", "endDate": "Feb 21, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "China International Capital Corporation Hong Kong Securities Limited", "prinCeNameChin": "\u4e2d\u570b\u570b\u969b\u91d1\u878d\u9999\u6e2f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEN894", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 29, 2007 12:00:00 AM", "endDate": "Sep 4, 2013 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName… 2021-06-12 01:56:06 indi
NAMBA Kiyonobu 難波聖延 AAA186 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "MUSHK Limited", "prinCeNameChin": null, "prinCeRef": "AAE045", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 18, 2003 12:00:00 AM", "endDate": "Mar 10, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "MUSHK Limited", "prinCeNameChin": null, "prinCeRef": "AAE045", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 18, 2003 12:00:00 AM", "endDate": "Mar 10, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "MUSHK Limited", "prinCeNameChin": null, "prinCeRef": "AAE045", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Aug 18, 2003 12:00:00 AM", "endDate": "Mar 10, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "MUSHK Limited", "prinCeNameChin": null, "prinCeRef": "AAE045", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Aug 18, 2003 12:00:00 AM", "endDate": "Mar 10, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "MUSHK Limited", "prinCeNameChin": null, "prinCeRef": "AAE045", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities",… 2020-12-24 20:44:55 indi
TAN Pun Shing 陳本勝 AAA187 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "TC Investment Management (Asia) Limited", "prinCeNameChin": "\u540c\u5275\u6295\u8cc7\u7ba1\u7406(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AFT106", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 3, 2017 12:00:00 AM", "endDate": "Oct 8, 2019 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Midland Wealth Management Limited", "prinCeNameChin": "\u7f8e\u806f\u8cc7\u7522\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AOD613", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 21, 2013 12:00:00 AM", "endDate": "Jun 14, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Planetree Securities Limited", "prinCeNameChin": "\u68a7\u6850\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AED194", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 4, 2008 12:00:00 AM", "endDate": "Dec 30, 2008 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 1, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "… 2020-12-25 00:42:56 indi
LEUNG Po Sheung 梁寶嫦 AAA188 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "DL Brokerage Limited", "prinCeNameChin": "\u4f50\u96c4\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ129", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 20, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lee Tat & Company", "prinCeNameChin": "\u5229\u9054\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAD069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 10, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lee Tat & Company", "prinCeNameChin": "\u5229\u9054\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAD069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 10, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lee Tat & Company", "prinCeNameChin": "\u5229\u9054\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAD069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 10, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Lee Tat & Company", "prinCeNameChin": "\u5229\u9054\u8b49\u5238\u516c\u53f8", "prinCeRef": "AAD0… 2021-06-12 01:56:05 indi
MACDIARMID Rory Peter Alistair   AAA190 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Enhanced Investment Products Limited", "prinCeNameChin": "\u6613\u4e9e\u6295\u8cc7\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AHK550", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jun 11, 2007 12:00:00 AM", "endDate": "Mar 31, 2008 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Enhanced Investment Products Limited", "prinCeNameChin": "\u6613\u4e9e\u6295\u8cc7\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AHK550", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jun 11, 2007 12:00:00 AM", "endDate": "Mar 31, 2008 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Enhanced Investment Products Limited", "prinCeNameChin": "\u6613\u4e9e\u6295\u8cc7\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AHK550", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Jun 11, 2007 12:00:00 AM", "endDate": "Mar 31, 2008 12:00:00 AM"}]}] 2020-12-25 03:51:37 indi
HAUNG Yi Chun 黃怡珍 AAA191 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sunrise Securities Limited", "prinCeNameChin": "\u9f4a\u69ae\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ALK068", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 10, 2015 12:00:00 AM", "endDate": "Nov 6, 2019 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Corrington Securities & Investment Limited", "prinCeNameChin": "\u54e5\u9023\u9813\u8b49\u5238\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAY991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 3, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Corrington Securities & Investment Limited", "prinCeNameChin": "\u54e5\u9023\u9813\u8b49\u5238\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAY991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 29, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Corrington Securities & Investment Limited", "prinCeNameChin": "\u54e5\u9023\u9813\u8b49\u5238\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "AAY991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM",… 2020-12-24 14:32:37 indi
TAM Wing Him, Michael 譚永謙 AAA192 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Citigroup Global Markets Asia Limited", "prinCeNameChin": "\u82b1\u65d7\u74b0\u7403\u91d1\u878d\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA137", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 4, 2009 12:00:00 AM", "endDate": "Sep 24, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Citigroup Global Markets Hong Kong Futures and Securities Limited", "prinCeNameChin": null, "prinCeRef": "ABM371", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 4, 2009 12:00:00 AM", "endDate": "Aug 31, 2013 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Citigroup Global Markets Asia Limited", "prinCeNameChin": "\u82b1\u65d7\u74b0\u7403\u91d1\u878d\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA137", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 20, 2013 12:00:00 AM", "endDate": "Sep 24, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Citigroup Global Markets Hong Kong Futures and Securities Limited", "prinCeNameChin": null, "prinCeRef": "ABM371", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 4, 2009 12:00:00 AM", "endDate": "Aug 31, 2013 12:00:00 AM"}]}] 2020-12-22 16:02:44 indi
NG Kin Sing 吳建星 AAA193 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Chief Securities Limited", "prinCeNameChin": "\u81f4\u5bcc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADI983", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 11, 2005 12:00:00 AM", "endDate": "Sep 11, 2007 12:00:00 AM"}]}] 2020-12-24 20:44:54 indi
TAM Kwok Wai, Jack 譚國偉 AAA196 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "China Tonghai Securities Limited", "prinCeNameChin": "\u4e2d\u570b\u901a\u6d77\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC577", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 27, 2016 12:00:00 AM", "endDate": "May 31, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 28, 2014 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "China Tonghai Securities Limited", "prinCeNameChin": "\u4e2d\u570b\u901a\u6d77\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC577", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 27, 2016 12:00:00 AM", "endDate": "May 31, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate… 2020-12-25 00:42:54 indi
WONG Man Ching 王文正 AAA197 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "BKJ214", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 3, 2017 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU347", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 2, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Futures (Hong Kong) Limited", "prinCeNameChin": "\u51f1\u57fa\u671f\u8ca8(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ADW991", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 14, 2013 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\u57fa\u8b49\u5238\u4e9e\u6d32\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU347", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "KGI Asia Limited", "prinCeNameChin": "\u51f1\… 2021-06-11 19:42:57 indi
CHIU Shek 趙錫 AAA198 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 1, 2004 12:00:00 AM"}]}] 2020-12-24 05:38:09 indi
LAI Hon 黎漢 AAA199 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jun 16, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 21, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 21, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 21, 2005 12:00:00 AM"}]}] 2020-12-24 12:28:17 indi
CHAN Kai Wang, Kevin 陳啟宏 AAA200 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 6, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 6, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 6, 2004 12:00:00 AM"}]}] 2021-06-12 02:50:13 indi
YAU Chung Wai, Joanne 邱中慧 AAA201 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "DBS Vickers (Hong Kong) Limited", "prinCeNameChin": "\u661f\u5c55\u552f\u9ad8\u9054\u9999\u6e2f\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD647", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 8, 2020 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "DBS Vickers (Hong Kong) Limited", "prinCeNameChin": "\u661f\u5c55\u552f\u9ad8\u9054\u9999\u6e2f\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD647", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 27, 2003 12:00:00 AM", "endDate": "Feb 8, 2020 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "DBS Vickers Futures (Hong Kong) Limited", "prinCeNameChin": "DBS\u552f\u9ad8\u9054\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAJ829", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 13, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "DBS Vickers (Hong Kong) Limited", "prinCeNameChin": "\u661f\u5c55\u552f\u9ad8\u9054\u9999\u6e2f\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD647", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate":… 2020-12-24 23:21:31 indi
TONG Ching Po 湯正保 AAA202 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "CRIC Securities Company Limited", "prinCeNameChin": "\u514b\u800c\u745e\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "BAL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 19, 2016 12:00:00 AM", "endDate": "Aug 9, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sino Capital Securities Limited", "prinCeNameChin": "\u570b\u9806\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABM401", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 25, 2016 12:00:00 AM", "endDate": "Jan 28, 2016 12:00:00 AM"}, {"effectiveDate": "Jan 21, 2010 12:00:00 AM", "endDate": "Mar 5, 2010 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Fortune (HK) Securities Limited", "prinCeNameChin": "\u5bcc\u5f37\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AHQ488", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Dec 29, 2006 12:00:00 AM", "endDate": "Jan 10, 2007 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "China Securities Holdings Limited", "prinCeNameChin": "\u4e2d\u570b\u8a3c\u5238\u63a7\u80a1\u6709\u9650\u516c\u53f8", "prinCeRef": "ABE233", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 10, 2005 12:00:00 AM", "endDate": "Dec 15, 2006 12:0… 2020-12-25 12:03:59 indi
NAM Kwok Lun 藍國倫 AAA205 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Commodities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u5546\u54c1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAX632", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl Thomson Investment Consultants Limited", "prinCeNameChin": "\u9ad8\u4fe1\u6295\u8cc7\u9867\u554f\u6709\u9650\u516c\u53f8", "prinCeRef": "AHF764", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 25, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinC… 2021-06-11 17:53:48 indi
CHAN Man Hin, Thomas 陳文顯 AAA210 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Sun Capital Securities Limited", "prinCeNameChin": "\u967d\u5149\u8cc7\u672c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ALT721", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 31, 2005 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Giny Securities Company", "prinCeNameChin": "\u6a02\u7fa4\u8b49\u5238\u516c\u53f8", "prinCeRef": "ACG044", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 31, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Giny Securities Company", "prinCeNameChin": "\u6a02\u7fa4\u8b49\u5238\u516c\u53f8", "prinCeRef": "ACG044", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Giny Securities Company", "prinCeNameChin": "\u6a02\u7fa4\u8b49\u5238\u516c\u53f8", "prinCeRef": "ACG044", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Giny Securities Company", "prinCeNameChin": "\u6a02\u7fa… 2021-06-12 02:50:13 indi
WONG Chun Wah 王俊華 AAA213 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "HF Securities and Futures Limited", "prinCeNameChin": "\u532f\u798f\u8b49\u5238\u53ca\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "BFA119", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 6, 2019 12:00:00 AM", "endDate": "Aug 16, 2019 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "MF Global Securities HK Limited", "prinCeNameChin": "\u660e\u5bcc\u74b0\u7403\u8b49\u5238\u9999\u6e2f\u6709\u9650\u516c\u53f8", "prinCeRef": "AMB186", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Nov 9, 2006 12:00:00 AM", "endDate": "Apr 30, 2007 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Credit Agricole Securities (Asia) Limited", "prinCeNameChin": "\u6771\u65b9\u532f\u7406\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAB947", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 1, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "RBS Asia Securities (Hong Kong) Limited", "prinCeNameChin": "\u8607\u7687\u8b49\u5238\u4e9e\u6d32(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAF114", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 4, 2005 … 2021-03-29 15:14:17 indi
WONG Kwok Ping 王國平 AAA214 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}] 2021-06-11 19:42:57 indi
CHUNG Kam Fun, Ivy 鍾錦芬 AAA216 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Commodities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u5546\u54c1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAX632", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 5, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Commodities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u5546\u54c1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAX632", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 5, 2004 12:00:00 AM"}]}, {"lcRol… 2021-06-12 02:14:48 indi
MAK Sang 麥生 AAA218 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Man Lung Hong Securities Limited", "prinCeNameChin": "\u842c\u9686\u884c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACN745", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 1, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Man Lung Hong Securities Limited", "prinCeNameChin": "\u842c\u9686\u884c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACN745", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 31, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Man Lung Hong Securities Limited", "prinCeNameChin": "\u842c\u9686\u884c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACN745", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 31, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Man Lung Hong Securities Limited", "prinCeNameChin": "\u842c\u9686\u884c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACN745", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 31, 2005 12:00:00 AM"}]}] 2020-12-24 19:18:17 indi
CHAN Kwok Kit, Desmond 陳國傑 AAA219 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "AIA Wealth Management Company Limited", "prinCeNameChin": "\u53cb\u90a6\u8ca1\u5bcc\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AEI123", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 13, 2004 12:00:00 AM", "endDate": "May 21, 2007 12:00:00 AM"}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 23, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "AIA Wealth Management Company Limited", "prinCeNameChin": "\u53cb\u90a6\u8ca1\u5bcc\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AEI123", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 13, 2004 12:00:00 AM", "endDate": "May 21, 2007 12:00:00 AM"}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 23, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "AIA Wealth Management Company Limited", "prinCeNameChin": "\u53cb\u90a6\u8ca1\u5bcc\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AEI123", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 21, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "AIA Wealth Management Company Limited", "prinCeNameChin": "\u53cb\u90a6\u8ca1\u5bcc\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AEI123", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": nu… 2020-12-24 05:38:04 indi
ONG Ban Chye 王萬材 AAA221 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Ban Hin Securities Company Limited", "prinCeNameChin": "\u842c\u8208\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAK655", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 25, 2005 12:00:00 AM"}]}] 2021-06-11 17:56:07 indi
YEUNG Wai Ling 楊惠玲 AAA224 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "China Galaxy International Securities (Hong Kong) Co., Limited", "prinCeNameChin": "\u4e2d\u570b\u9280\u6cb3\u570b\u969b\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AXM459", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 2, 2021 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Celestial Securities Limited", "prinCeNameChin": "\u6642\u5bcc\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAF532", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Feb 27, 2021 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "China Galaxy International Futures (Hong Kong) Co., Limited", "prinCeNameChin": "\u4e2d\u570b\u9280\u6cb3\u570b\u969b\u671f\u8ca8(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AYH772", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Mar 2, 2021 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Celestial Commodities Limited", "prinCeNameChin": "\u6642\u5bcc\u5546\u54c1\u6709\u9650\u516c\u53f8", "prinCeRef": "AAF557", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "F… 2021-06-11 20:09:51 indi
SHANG Tat Yan 尚達人 AAA228 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "HSBC Broking (China) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d(\u4e2d\u570b)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACB931", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 1, 2011 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 1, 2011 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Hong Kong) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA529", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 1, 2011 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate"… 2020-12-25 02:18:18 indi
CHAN Chun Wah 陳振華 AAA231 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 11, 2010 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 6, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 6, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Goldenway Securities Company Limited", "prinCeNameChin": "\u91d1\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADA327", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 6, 2004 12:00:00 AM"}]}] 2020-12-24 05:38:04 indi
NG Mei Kuen 吳美娟 AAA232 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Commodities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u5546\u54c1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAX632", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Sep 27, 2007 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 5, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 5, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "p… 2021-06-11 17:53:47 indi
HENG Kwai Shan 幸桂山 AAA233 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 7, 2016 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 1… 2020-12-24 14:32:36 indi
NG Yin Ming 吳燕明 AAA241 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Forex (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u5916\u532f(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACL069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 3, "actDesc": "Leveraged Foreign Exchange Trading", "cactDesc": "\u69d3\u687f\u5f0f\u5916\u532f\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriod… 2020-12-24 20:44:52 indi
HUI King Man 許競文 AAA243 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Eton Advisory Services Limited", "prinCeNameChin": "\u8cbd\u5b89\u9867\u554f\u6709\u9650\u516c\u53f8", "prinCeRef": "AHF189", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jan 7, 2005 12:00:00 AM", "endDate": "Dec 31, 2005 12:00:00 AM"}]}] 2020-12-25 09:08:04 indi
KELLY LAU Judith   AAA244 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin": "\u6469\u6839\u57fa\u91d1(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA135", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Asset Management (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAA121", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin": "\u6469\u6839\u57fa\u91d1(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAA135", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 2, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Asset Management (Asia Pacific) Limited", "prinCeNameChin": null, "prinCeRef": "AAA121", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 2, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "JPMorgan Funds (Asia) Limited", "prinCeNameChin… 2021-06-11 22:11:18 indi
LAM Kwok Hing 藍國慶 AAA246 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 30, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Commodities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u5546\u54c1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAX632", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 23, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Securities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ACE607", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Nov 23, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Karl-Thomson Commodities Company Limited", "prinCeNameChin": "\u9ad8\u4fe1\u5546\u54c1\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AAX632", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 5, "actDesc": "Advising on Futures Contracts", "cactDesc": "\u5c31\u671f\u8ca8\u5408\u7d04\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "en… 2020-12-24 12:28:17 indi
LAI Hing Tao 黎慶濤 AAA247 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 31, 2012 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 … 2020-12-24 12:28:16 indi
NG Wing Yee 吳詠儀 AAA248 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Forex (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u5916\u532f(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACL069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 3, "actDesc": "Leveraged Foreign Exchange Trading", "cactDesc": "\u69d3\u687f\u5f0f\u5916\u532f\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 1, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriod… 2020-12-24 20:44:51 indi
LAW Ting Wan 羅定雲 AAA251 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Wing Yee Securities Company Limited", "prinCeNameChin": "\u8a60\u8abc\u8b49\u5238\u6295\u8cc7\u6709\u9650\u516c\u53f8", "prinCeRef": "ACQ687", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jun 11, 2003 12:00:00 AM", "endDate": "Jul 25, 2016 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Worldtop Securities Limited", "prinCeNameChin": "\u5927\u4e16\u754c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AHB517", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 3, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Worldtop Securities Limited", "prinCeNameChin": "\u5927\u4e16\u754c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AHB517", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 3, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Worldtop Securities Limited", "prinCeNameChin": "\u5927\u4e16\u754c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AHB517", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 3, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "… 2020-12-24 12:28:14 indi
PANG Fung Ping 彭鳳萍 AAA253 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 3, 2018 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "iFAST Securities (HK) Limited", "prinCeNameChin": "\u5955\u8c50\u8b49\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABQ890", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Sep 16, 2004 1… 2020-12-25 02:39:07 indi
KESWANI Soshila 馬雪蘭 AAA258 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Prudential Brokerage Limited", "prinCeNameChin": "\u4fe1\u8aa0\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABI439", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Feb 22, 2008 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "FTL Wealth Management (HK) Limited", "prinCeNameChin": "\u5bcc\u901a\u8ca1\u5bcc\u7ba1\u7406\u6709\u9650\u516c\u53f8", "prinCeRef": "AFF183", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Aug 15, 2005 12:00:00 AM", "endDate": "Jan 11, 2008 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "FTLife Insurance Company Limited", "prinCeNameChin": "\u5bcc\u901a\u4fdd\u96aa\u6709\u9650\u516c\u53f8", "prinCeRef": "AAO188", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jun 24, 2005 12:00:00 AM", "endDate": "Aug 11, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Sun Life Hong Kong Limited", "prinCeNameChin": "\u9999\u6e2f\u6c38\u660e\u91d1\u878d\u6709\u9650\u516c\u53f8", "prinCeRef": "AAF990", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 15, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, … 2021-06-12 02:00:38 indi
AU-YEUNG YEUNG Kwok Lin Jennifer 歐陽楊幗蓮 AAA259 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 9, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 9, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 9, 2003 12:00:00 AM"}]}] 2021-06-12 02:50:58 indi
MAK Kwan Lung, Treddy 麥坤隆 AAA263 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Enlighten Securities Limited", "prinCeNameChin": "\u540d\u532f\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEF482", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Aug 23, 2007 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "RHB Securities Hong Kong Limited", "prinCeNameChin": "\u8208\u696d\u91d1\u878d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU220", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 21, 2004 12:00:00 AM", "endDate": "Aug 11, 2007 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Wings Securities (HK) Limited", "prinCeNameChin": "\u91d1\u9d6c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABF920", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 28, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Wings Securities (HK) Limited", "prinCeNameChin": "\u91d1\u9d6c\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ABF920", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Apr 28, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Wings Securities (HK) Limited", "prinC… 2021-06-11 17:40:45 indi
NGAI Siu King 魏少琼 AAA265 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "RHB Securities Hong Kong Limited", "prinCeNameChin": "\u8208\u696d\u91d1\u878d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU220", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Oct 21, 2005 12:00:00 AM", "endDate": "Apr 30, 2014 12:00:00 AM"}, {"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 4, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "RHB Securities Hong Kong Limited", "prinCeNameChin": "\u8208\u696d\u91d1\u878d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU220", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "RHB Securities Hong Kong Limited", "prinCeNameChin": "\u8208\u696d\u91d1\u878d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU220", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 1, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "RHB Securities Hong Kong Limited", "prinCeNameChin": "\u8208\u696d\u91d1\u878d\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "ADU220", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effect… 2020-12-24 20:44:51 indi
NG Chi Wing 吳志榮 AAA271 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "RBC Investment Services (Asia) Limited", "prinCeNameChin": "\u52a0\u7687\u6295\u8cc7\u7406\u8ca1\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG176", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jul 15, 2004 12:00:00 AM", "endDate": "Mar 17, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "RBC Investment Services (Asia) Limited", "prinCeNameChin": "\u52a0\u7687\u6295\u8cc7\u7406\u8ca1\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG176", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jul 15, 2004 12:00:00 AM", "endDate": "Mar 17, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "iMarkets Structured Products Limited", "prinCeNameChin": null, "prinCeRef": "AGN297", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Jun 15, 2004 12:00:00 AM", "endDate": "Jul 15, 2004 12:00:00 AM"}]}] 2020-12-24 20:44:50 indi
OEI Teng Siong 黃鼎頌 AAA272 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Gransing Securities Co., Limited", "prinCeNameChin": "\u570b\u6295\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AER434", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 27, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Gransing Securities Co., Limited", "prinCeNameChin": "\u570b\u6295\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AER434", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 27, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Gransing Securities Co., Limited", "prinCeNameChin": "\u570b\u6295\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AER434", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 14, 2003 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Gransing Securities Co., Limited", "prinCeNameChin": "\u570b\u6295\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AER434", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jul 14, 2003 12:00:00 AM"}]}] 2020-12-24 20:56:40 indi
NG Kam Kuen, Peter 吳金權 AAA275 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "CVP Securities Limited", "prinCeNameChin": "\u661f\u706b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AJK645", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 18, 2006 12:00:00 AM", "endDate": "Sep 1, 2007 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 2, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 25, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Mar 25, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Sec… 2020-12-24 20:44:49 indi
MA Ching Miu, Priscilla 馬清梅 AAA277 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Soochow Securities International Brokerage Limited", "prinCeNameChin": "\u6771\u5433\u8b49\u5238\u570b\u969b\u7d93\u7d00\u6709\u9650\u516c\u53f8", "prinCeRef": "AYA587", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 30, 2014 12:00:00 AM", "endDate": "Jul 31, 2020 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Ping An of China Securities (Hong Kong) Company Limited", "prinCeNameChin": "\u4e2d\u570b\u5e73\u5b89\u8a3c\u5238(\u9999\u6e2f)\u6709\u9650\u516c\u53f8", "prinCeRef": "ASC577", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Sep 21, 2012 12:00:00 AM", "endDate": "Apr 16, 2014 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 30, 2003 12:00:00 AM", "endDate": "Aug 20, 2012 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Soochow Securities International Futures Limited", "prinCeNameChin": "\u6771\u5433\u8b49\u5238\u570b\u969b\u671f\u8ca8\u6709\u9650\u516c\u53f8", "prinCeRef": "AZQ989", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodL… 2021-01-27 11:02:30 indi
OR Wai Sheun, Johnny 柯為湘 AAA279 [{"lcRole": "RO", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 16, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 16, 2005 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 17, 2004 12:00:00 AM"}]}, {"lcRole": "RO", "prinApplNo": null, "prinCeName": "Hantec Securities Co. Limited", "prinCeNameChin": "\u4ea8\u9054\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AFL779", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 9, "actDesc": "Asset Management", "cactDesc": "\u63d0\u4f9b\u8cc7\u7522\u7ba1\u7406"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Aug 16, 2005 12:00:00 AM"}]}] 2020-12-24 20:56:39 indi
CHAN Chung Shan 陳松山 AAA281 [] 2020-12-24 05:38:02 indi
LIU Nam Yuk, Oliver 廖南育 AAA284 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "BOCI Securities Limited", "prinCeNameChin": "\u4e2d\u9280\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC298", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 7, 2014 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 23, 2013 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "BOCI Securities Limited", "prinCeNameChin": "\u4e2d\u9280\u570b\u969b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAC298", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Jan 7, 2014 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Dec 23, 2013 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo":… 2021-06-12 00:22:15 indi
LAM Shek Tung, Tony 林錫東 AAA288 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Capitec Securities Limited", "prinCeNameChin": "\u878d\u5fb7\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AQS774", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "A", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Dec 9, 2008 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "CVP Securities Limited", "prinCeNameChin": "\u661f\u706b\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AJK645", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 3, 2006 12:00:00 AM", "endDate": "Dec 3, 2008 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "May 2, 2006 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AEH900", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 2, 2004 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Beijing Securities Limited", "prinCeNameChin": "\u5317\u4eac\u8b49\u5238\… 2021-06-12 01:56:05 indi
LEUNG Kwai Yin 梁貴燕 AAA290 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "Po Kay Securities & Shares Company Limited", "prinCeNameChin": "\u6b65\u57fa\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD452", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Oct 20, 2017 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Po Kay Securities & Shares Company Limited", "prinCeNameChin": "\u6b65\u57fa\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD452", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 28, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Po Kay Securities & Shares Company Limited", "prinCeNameChin": "\u6b65\u57fa\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD452", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 6, "actDesc": "Advising on Corporate Finance", "cactDesc": "\u5c31\u6a5f\u69cb\u878d\u8cc7\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": "Jan 28, 2005 12:00:00 AM"}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "Po Kay Securities & Shares Company Limited", "prinCeNameChin": "\u6b65\u57fa\u8b49\u5238\u6709\u9650\u516c\u53f8", "prinCeRef": "AAD452", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 7, "actDesc": "Providing Automated Trading Services", "cactDesc": "\u63d0\u4f9b\u81ea\u52d5\u5316\u4ea4\u6613\u670d\u52d9"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00… 2020-12-24 12:28:11 indi
LI Siu Hung, Amy 李小紅 AAA292 [{"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 1, "actDesc": "Dealing in Securities", "cactDesc": "\u8b49\u5238\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Futures (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u671f\u8ca8(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "AAG075", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 2, "actDesc": "Dealing in Futures Contracts", "cactDesc": "\u671f\u8ca8\u5408\u7d04\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Forex (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u5916\u532f(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ACL069", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 3, "actDesc": "Leveraged Foreign Exchange Trading", "cactDesc": "\u69d3\u687f\u5f0f\u5916\u532f\u4ea4\u6613"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate": null}]}, {"lcRole": "RE", "prinApplNo": null, "prinCeName": "HSBC Broking Securities (Asia) Limited", "prinCeNameChin": "\u6ed9\u8c50\u91d1\u878d\u8b49\u5238(\u4e9e\u6d32)\u6709\u9650\u516c\u53f8", "prinCeRef": "ABX727", "lcType": null, "regulatedActivity": {"effDate": null, "endDate": null, "status": "R", "raCategory": null, "actType": 4, "actDesc": "Advising on Securities", "cactDesc": "\u5c31\u8b49\u5238\u63d0\u4f9b\u610f\u898b"}, "effectivePeriodList": [{"effectiveDate": "Apr 1, 2003 12:00:00 AM", "endDate":… 2021-06-12 01:03:10 indi

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CREATE TABLE [hksfclicencesraw] (
   [nameenglish] TEXT,
   [namechinese] TEXT,
   [ceref] TEXT,
   [jsoninfo] TEXT,
   [timestamp] TEXT,
   [indieo] TEXT,
   PRIMARY KEY ([ceref], [indieo])
);