Hong Kong SFC licence institution AAA849, Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司

These are the licence-holders that were found for SFC licence institution AAA849 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAA905 LAU Ying Kwong, Vincent 劉迎光 RE Dealing in Securities 2003-04-01 2008-12-30
AAA905 LAU Ying Kwong, Vincent 劉迎光 RE Advising on Securities 2003-04-01 2004-10-12
AAA905 LAU Ying Kwong, Vincent 劉迎光 RE Advising on Corporate Finance 2003-04-01 2004-10-12
AAA905 LAU Ying Kwong, Vincent 劉迎光 RE Asset Management 2003-04-01 2004-10-12
AAE260 ZEE John 徐強生 RE Dealing in Securities 2003-04-01 2005-04-07
AAE260 ZEE John 徐強生 RE Advising on Securities 2003-04-01 2004-10-13
AAE260 ZEE John 徐強生 RE Advising on Corporate Finance 2003-04-01 2004-10-13
AAE260 ZEE John 徐強生 RE Asset Management 2003-04-01 2004-10-13
AAF948 CHAN Mei Chun, Beonna 陳美珍 RE Dealing in Securities 2003-04-01 2011-10-11
AAF948 CHAN Mei Chun, Beonna 陳美珍 RE Advising on Securities 2003-04-01 2004-10-14
AAF948 CHAN Mei Chun, Beonna 陳美珍 RE Advising on Corporate Finance 2003-04-01 2004-10-14
AAF948 CHAN Mei Chun, Beonna 陳美珍 RE Asset Management 2003-04-01 2004-10-14
AAY091 CHAK Kwok Fai, Alan 翟國輝 RE Dealing in Securities 2013-05-29 2016-06-29
AAY091 CHAK Kwok Fai, Alan 翟國輝 RE Providing Automated Trading Services 2014-07-08 2016-06-29
ACC905 TORRIBLE David Geoffrey 大衛德利保 RE Dealing in Securities 2012-02-06 2013-01-01
ACC905 TORRIBLE David Geoffrey 大衛德利保 RO Dealing in Securities 2008-07-11 2012-02-06
ACC905 TORRIBLE David Geoffrey 大衛德利保 RE Advising on Securities 2012-02-06 2013-01-01
ACC905 TORRIBLE David Geoffrey 大衛德利保 RO Advising on Securities 2008-07-11 2012-02-06
ACS103 CHAU Chun 周聰 RE Dealing in Securities 2003-04-01 2016-10-10
ACS103 CHAU Chun 周聰 RE Advising on Securities 2003-04-01 2004-10-14
ACS103 CHAU Chun 周聰 RE Advising on Corporate Finance 2003-04-01 2004-10-14
ACS103 CHAU Chun 周聰 RE Asset Management 2003-04-01 2004-10-14
ACT421 MACHIN Mark Gordon Adam RO Advising on Corporate Finance 2006-09-11 2011-08-26
ACU891 LAI Wai Tsz 黎慧慈 RE Dealing in Securities 2003-04-01 2003-08-22
ACU891 LAI Wai Tsz 黎慧慈 RE Advising on Securities 2003-04-01 2003-08-22
ACU891 LAI Wai Tsz 黎慧慈 RE Advising on Corporate Finance 2003-04-01 2003-08-22
ACU891 LAI Wai Tsz 黎慧慈 RE Asset Management 2003-04-01 2003-08-22
ACW670 CHAN Pui Ping 陳沛萍 RE Dealing in Securities 2003-04-01 2016-10-10
ACW670 CHAN Pui Ping 陳沛萍 RE Advising on Securities 2003-04-01 2004-10-14
ACW670 CHAN Pui Ping 陳沛萍 RE Advising on Corporate Finance 2003-04-01 2004-10-14
ACW670 CHAN Pui Ping 陳沛萍 RE Asset Management 2003-04-01 2004-10-14
ACY706 LIM Boon Keong RE Dealing in Securities 2003-04-01 2003-07-01
ACY706 LIM Boon Keong RE Advising on Securities 2003-04-01 2003-07-01
ACY706 LIM Boon Keong RE Advising on Corporate Finance 2003-04-01 2003-07-01
ACY706 LIM Boon Keong RE Asset Management 2003-04-01 2003-07-01
ACZ555 KUO Cheung 郭強 RE Dealing in Securities 2003-04-26 2007-07-10
ACZ555 KUO Cheung 郭強 RE Dealing in Securities 2011-02-01 2011-03-19
ACZ555 KUO Cheung 郭強 RO Dealing in Securities 2007-07-10 2011-02-01
ADA141 LIU Hao-Cheng 劉浩正 RE Dealing in Securities 2003-04-01 2004-10-12
ADA141 LIU Hao-Cheng 劉浩正 RE Advising on Securities 2003-04-01 2004-10-12
ADA141 LIU Hao-Cheng 劉浩正 RE Advising on Corporate Finance 2003-04-01 2004-10-12
ADA141 LIU Hao-Cheng 劉浩正 RE Asset Management 2003-04-01 2004-10-12
ADC059 SUEN Ming Chit 孫明哲 RO Dealing in Securities 2011-12-16 2016-10-10
ADC059 SUEN Ming Chit 孫明哲 RO Advising on Securities 2011-12-16 2016-10-10
ADD804 LIN Chi Long, Danny 林志朗 RE Dealing in Securities 2007-05-21 2008-12-11
ADD816 TOWFIGH Frederick RO Dealing in Securities 2011-08-25 2016-10-10
ADD816 TOWFIGH Frederick RO Advising on Securities 2011-08-25 2016-10-10
ADD816 TOWFIGH Frederick RO Providing Automated Trading Services 2013-07-11 2014-10-10
ADJ584 GHATALIA Rajiv Arvind RO Advising on Securities 2003-07-16 2003-08-14
ADJ584 GHATALIA Rajiv Arvind RO Advising on Corporate Finance 2003-07-16 2005-06-22
ADR043 ADAIR John Joseph RO Dealing in Securities 2005-04-28 2007-02-24
ADR043 ADAIR John Joseph RO Advising on Securities 2006-07-31 2007-02-24
ADT742 VOON David Hian-Fook 溫賢福 RO Dealing in Securities 2003-04-01 2007-03-21
ADT742 VOON David Hian-Fook 溫賢福 RO Advising on Securities 2004-10-26 2007-03-21
ADU329 AHMAD Syed Hyder RO Dealing in Securities 2003-04-01 2006-08-01
ADU329 AHMAD Syed Hyder RO Advising on Securities 2004-09-08 2006-08-01
ADU464 YEUNG Kai Yin 楊啟賢 RE Dealing in Securities 2003-04-01 2016-06-29
ADU464 YEUNG Kai Yin 楊啟賢 RE Advising on Securities 2003-04-01 2004-10-12
ADU464 YEUNG Kai Yin 楊啟賢 RE Advising on Corporate Finance 2003-04-01 2004-10-12
ADU464 YEUNG Kai Yin 楊啟賢 RE Asset Management 2003-04-01 2004-10-12
ADU895 WAT Chi Ming 屈志銘 RE Dealing in Securities 2003-04-01 2003-08-21
ADU895 WAT Chi Ming 屈志銘 RE Advising on Securities 2003-04-01 2003-08-21
ADU895 WAT Chi Ming 屈志銘 RE Advising on Corporate Finance 2003-04-01 2003-08-21
ADU895 WAT Chi Ming 屈志銘 RE Asset Management 2003-04-01 2003-08-21
ADU896 MCFARLAND Christina Ma 馬智萍 RO Dealing in Securities 2012-07-03 2016-10-10
ADV670 FRESHWATER Timothy George RO Advising on Securities 2003-04-01 2005-01-10
ADV670 FRESHWATER Timothy George RO Advising on Corporate Finance 2003-04-01 2011-08-26
ADV670 FRESHWATER Timothy George RO Asset Management 2003-04-01 2005-01-10
ADW756 LIU Huan Chieh, Gary 劉煥傑 RE Dealing in Securities 2003-04-01 2004-04-06
ADW756 LIU Huan Chieh, Gary 劉煥傑 RE Advising on Securities 2003-04-01 2004-04-06
ADW756 LIU Huan Chieh, Gary 劉煥傑 RE Advising on Corporate Finance 2003-04-01 2004-04-06
ADW756 LIU Huan Chieh, Gary 劉煥傑 RE Asset Management 2003-04-01 2004-04-06
ADX061 JUNG Christopher Lam 曾俊文 RE Dealing in Securities 2003-04-01 2008-03-04
ADX061 JUNG Christopher Lam 曾俊文 RE Advising on Securities 2003-04-01 2004-06-01
ADX061 JUNG Christopher Lam 曾俊文 RE Advising on Corporate Finance 2003-04-01 2004-06-01
ADX061 JUNG Christopher Lam 曾俊文 RE Asset Management 2003-04-01 2004-06-01
ADX208 SO Bing Kei, Raymond 蘇秉基 RE Dealing in Securities 2014-05-02 2016-02-03
ADX838 RYAN David Michael RE Dealing in Securities 2008-06-01 2012-05-14
ADX838 RYAN David Michael RO Dealing in Securities 2006-09-29 2008-06-01
ADX838 RYAN David Michael RE Advising on Securities 2008-06-01 2012-05-14
ADX838 RYAN David Michael RO Advising on Securities 2007-04-11 2008-06-01
AEF121 LEE Cheril Chung Chi 李頌慈 RE Dealing in Securities 2005-10-13 2008-11-07
AEF259 NGAI Chun Kit, Henry 倪俊傑 RE Dealing in Securities 2003-09-29 2003-12-18
AEH770 KWAN Yok Bing, Wendy 關玉冰 RE Advising on Securities 2011-10-04 2012-09-11
AEN030 NG Soon Wei Stephen 伍順輝 RE Dealing in Securities 2006-07-27 2009-01-22
AEO835 KARNANI Vijay RE Dealing in Securities 2003-04-01 2006-06-01
AEO835 KARNANI Vijay RE Advising on Securities 2003-04-01 2004-10-13
AEO835 KARNANI Vijay RE Advising on Corporate Finance 2003-04-01 2004-10-13
AEO835 KARNANI Vijay RE Asset Management 2003-04-01 2004-10-13
AEW882 CHIU Ping 趙平 RE Dealing in Securities 2003-04-01 2007-01-13
AEW882 CHIU Ping 趙平 RE Advising on Securities 2003-04-01 2004-10-13
AEW882 CHIU Ping 趙平 RE Advising on Corporate Finance 2003-04-01 2004-10-13
AEW882 CHIU Ping 趙平 RE Asset Management 2003-04-01 2004-10-13
AEZ084 CHEN Yuan Liang, Charles 陳仁樑 RE Dealing in Securities 2003-04-01 2008-05-02
AEZ084 CHEN Yuan Liang, Charles 陳仁樑 RE Advising on Securities 2003-04-01 2004-10-14
AEZ084 CHEN Yuan Liang, Charles 陳仁樑 RE Advising on Corporate Finance 2003-04-01 2004-10-14
AEZ084 CHEN Yuan Liang, Charles 陳仁樑 RE Asset Management 2003-04-01 2004-10-14
AFB126 SMITH Ian Grattan RE Dealing in Securities 2013-02-25 2014-02-15
AFF166 SCHRANTZ Alexander RO Advising on Corporate Finance 2006-09-11 2011-03-19
AFG008 CHEN Henry Lin 陳林正 RO Advising on Corporate Finance 2007-07-04 2008-08-23
AFH192 CHUI Chi-sun 徐志真 RE Dealing in Securities 2003-04-01 2004-06-19
AFH192 CHUI Chi-sun 徐志真 RE Advising on Securities 2003-04-01 2004-06-19
AFH192 CHUI Chi-sun 徐志真 RE Advising on Corporate Finance 2003-04-01 2004-06-19
AFH192 CHUI Chi-sun 徐志真 RE Asset Management 2003-04-01 2004-06-19
AFI697 CHURCHOUSE Jean-Paul Antony RE Dealing in Securities 2012-04-27 2014-05-08
AFM829 GNODDE Richard John RO Advising on Securities 2003-04-01 2005-01-07
AFM829 GNODDE Richard John RO Advising on Corporate Finance 2003-04-01 2005-01-07
AFM829 GNODDE Richard John RO Asset Management 2003-04-01 2005-01-07
AFQ687 MABARDY Michael Paul RE Dealing in Securities 2003-04-01 2006-01-07
AFQ687 MABARDY Michael Paul RE Advising on Securities 2003-04-01 2004-10-12
AFQ687 MABARDY Michael Paul RE Advising on Corporate Finance 2003-04-01 2004-10-12
AFQ687 MABARDY Michael Paul RE Asset Management 2003-04-01 2004-10-12
AFR865 MALIAH Raghav RO Advising on Corporate Finance 2011-06-01 2011-08-26
AFU155 CHOW Man Fung, Isabella 周文鳳 RE Dealing in Securities 2003-04-01 2004-12-29
AFU155 CHOW Man Fung, Isabella 周文鳳 RE Advising on Securities 2003-04-01 2004-10-13
AFU155 CHOW Man Fung, Isabella 周文鳳 RE Advising on Corporate Finance 2003-04-01 2004-10-13
AFU155 CHOW Man Fung, Isabella 周文鳳 RE Asset Management 2003-04-01 2004-10-13
AFU262 MITHRAN Girish RE Dealing in Securities 2003-11-07 2012-03-21
AGC458 CARR Michael John RO Advising on Securities 2003-04-01 2003-06-16
AGC458 CARR Michael John RO Advising on Corporate Finance 2003-04-01 2003-06-16
AGC458 CARR Michael John RO Asset Management 2003-04-01 2003-06-16
AGG883 OKABE Toru RE Dealing in Securities 2003-04-01 2012-07-28
AGG883 OKABE Toru RE Advising on Securities 2003-04-01 2004-10-13
AGG883 OKABE Toru RE Advising on Corporate Finance 2003-04-01 2004-10-13
AGG883 OKABE Toru RE Asset Management 2003-04-01 2004-10-13
AGH355 STUBBS Arthur James Kay RE Dealing in Securities 2003-10-29 2004-02-20
AGH965 NG Kenny 吳家健 RE Dealing in Securities 2014-03-28 2016-10-10
AGK899 SZE Wai Pang, Rick 施維鵬 RE Dealing in Securities 2004-07-05 2011-05-04
AGL393 CLAPPIER John Frederick RE Dealing in Securities 2015-11-27 2016-10-10
AGN744 RHEE Howard Sang-Hoon RE Dealing in Securities 2003-04-01 2005-01-17
AGN744 RHEE Howard Sang-Hoon RE Advising on Securities 2003-04-01 2004-10-13
AGN744 RHEE Howard Sang-Hoon RE Advising on Corporate Finance 2003-04-01 2004-10-13
AGN744 RHEE Howard Sang-Hoon RE Asset Management 2003-04-01 2004-10-13
AGN870 PAIK Sang Hyeon RE Dealing in Securities 2003-04-01 2005-02-01
AGN870 PAIK Sang Hyeon RE Advising on Securities 2003-04-01 2004-10-13
AGN870 PAIK Sang Hyeon RE Advising on Corporate Finance 2003-04-01 2004-10-13
AGN870 PAIK Sang Hyeon RE Asset Management 2003-04-01 2004-10-13
AGP157 LAU Ming Yeung, Lambert 劉名揚 RE Dealing in Securities 2003-04-01 2015-10-19
AGP157 LAU Ming Yeung, Lambert 劉名揚 RE Advising on Securities 2003-04-01 2004-10-12
AGP157 LAU Ming Yeung, Lambert 劉名揚 RE Advising on Corporate Finance 2003-04-01 2004-10-12
AGP157 LAU Ming Yeung, Lambert 劉名揚 RE Asset Management 2003-04-01 2004-10-12
AGR742 LEVEN Hans Johan RO Advising on Corporate Finance 2007-12-14 2009-07-01
AGW054 LAM Chi Siu, Milton 林子紹 RE Dealing in Securities 2004-05-14 2009-01-17
AHA220 PARADISE James Richard RE Dealing in Securities 2012-02-17 2012-07-13
AHA220 PARADISE James Richard RO Dealing in Securities 2012-07-13 2016-10-10
AHA220 PARADISE James Richard RE Advising on Securities 2012-02-17 2012-07-13
AHA220 PARADISE James Richard RO Advising on Securities 2012-07-13 2016-10-10
AHA655 MOK Jonathan Chung Kiu 莫仲翹 RE Dealing in Securities 2003-10-29 2005-08-11
AHA894 KEDIA Prashant RE Dealing in Securities 2003-04-01 2007-03-24
AHA894 KEDIA Prashant RE Advising on Securities 2003-04-01 2004-10-13
AHA894 KEDIA Prashant RE Advising on Corporate Finance 2003-04-01 2004-10-13
AHA894 KEDIA Prashant RE Asset Management 2003-04-01 2004-10-13
AHF204 KOK Ka Keung 郭家強 RE Dealing in Securities 2010-04-08 2016-03-19
AHF204 KOK Ka Keung 郭家強 RE Providing Automated Trading Services 2014-07-08 2016-03-19
AHG763 NG Jason Ka Chuen 吳家俊 RE Dealing in Securities 2014-09-10 2016-10-10
AHO643 CHU Wayne Wing Kar 朱永嘉 RE Dealing in Securities 2012-04-27 2013-03-12
AHQ950 IP Yuk Kwan, Vincent 葉鈺崑 RE Dealing in Securities 2012-04-27 2014-02-15
AHS841 CHAN Chi Kong, Kelvin 陳志江 RE Dealing in Securities 2011-02-25 2014-04-18
AHX034 WONG Jeffrey Shek Chuen 黃碩俊 RE Dealing in Securities 2003-04-01 2003-07-12
AHX034 WONG Jeffrey Shek Chuen 黃碩俊 RE Advising on Securities 2003-04-01 2003-07-12
AHX034 WONG Jeffrey Shek Chuen 黃碩俊 RE Advising on Corporate Finance 2003-04-01 2003-07-12
AHX034 WONG Jeffrey Shek Chuen 黃碩俊 RE Asset Management 2003-04-01 2003-07-12
AHY083 LUI Chun Wai Jervis 呂俊為 RE Dealing in Securities 2003-04-01 2003-10-09
AHY083 LUI Chun Wai Jervis 呂俊為 RE Advising on Securities 2003-04-01 2003-10-09
AHY083 LUI Chun Wai Jervis 呂俊為 RE Advising on Corporate Finance 2003-04-01 2003-10-09
AHY083 LUI Chun Wai Jervis 呂俊為 RE Asset Management 2003-04-01 2003-10-09
AIG228 CHEUNG Suk Mun 張淑敏 RE Dealing in Securities 2011-08-02 2014-05-31
AJA977 ZHAO Jinxiang 趙金祥 RE Dealing in Securities 2009-10-20 2014-01-29
AJE474 MARTIN Joseph John RE Dealing in Securities 2012-04-27 2012-07-01
AJH323 WAITZE Michael Irwin RE Dealing in Securities 2003-12-04 2004-07-30
AJL621 LEUNG Chung Man, Simon 梁頌文 RE Dealing in Securities 2011-03-25 2014-02-19
AJL621 LEUNG Chung Man, Simon 梁頌文 RE Dealing in Securities 2016-04-14 2016-10-10
AKI445 CAHILL John Robert RE Dealing in Securities 2014-10-03 2016-10-10
AKP607 JARRETT Caroline Grace RE Dealing in Securities 2015-08-26 2016-10-10
AKP607 JARRETT Caroline Grace RE Providing Automated Trading Services 2015-08-26 2016-10-10
ALI003 BESSON Guillaume Gerard Marie RE Dealing in Securities 2010-08-10 2011-02-23
ALI003 BESSON Guillaume Gerard Marie RO Dealing in Securities 2011-02-23 2016-03-02
ALK139 ZHANG Yan Ya, Emily 張艷雅 RE Dealing in Securities 2014-10-03 2016-10-10
ALL687 EVANS John Michael RE Dealing in Securities 2004-11-29 2005-02-01
ALL687 EVANS John Michael RO Dealing in Securities 2005-02-01 2008-04-10
ALL687 EVANS John Michael RE Advising on Corporate Finance 2004-11-29 2005-02-01
ALL687 EVANS John Michael RO Advising on Corporate Finance 2005-02-01 2008-04-10
ALZ911 CHIA Wei Chen 謝偉政 RE Dealing in Securities 2005-11-16 2007-01-29
AMC661 SAHNI Akshay RE Dealing in Securities 2009-07-15 2015-02-05
AMF141 ZHANG You 章友 RE Dealing in Securities 2005-08-09 2015-01-29
AMK118 WANG Ernie RE Dealing in Securities 2005-09-01 2008-03-18
AML314 SETO Kong Yiu, Elvis 司徒光耀 RE Dealing in Securities 2005-10-25 2016-05-06
AML314 SETO Kong Yiu, Elvis 司徒光耀 RE Advising on Securities 2011-10-04 2016-05-06
AMM281 MACDONALD Peter Bremner RO Dealing in Securities 2007-01-25 2007-04-18
AMM281 MACDONALD Peter Bremner RO Advising on Securities 2007-01-25 2007-04-18
AMN692 JOLY Denis, Jean RE Dealing in Securities 2005-10-03 2012-02-06
AMN692 JOLY Denis, Jean RO Dealing in Securities 2012-02-06 2016-05-04
AMR616 KEMP Michael Kenneth RE Dealing in Securities 2005-11-07 2008-12-11
AND837 DALMASSE Canute Howard RO Dealing in Securities 2012-07-05 2016-10-10
AND837 DALMASSE Canute Howard RO Providing Automated Trading Services 2013-07-11 2016-10-10
ANF158 TOM Edward 譚子平 RE Dealing in Securities 2007-03-30 2014-06-19
ANG578 LEUNG Wing Ying, Stephanie 梁穎瑩 RE Dealing in Securities 2012-05-02 2013-03-01
ANG869 SAUVAGE Benoit Marc-Antoine Yves RE Dealing in Securities 2012-04-30 2014-02-06
ANH720 MARSH Nicholas James RE Dealing in Securities 2012-04-27 2013-04-06
ANH725 REILLY Eugene T RO Dealing in Securities 2007-03-13 2009-12-21
ANH725 REILLY Eugene T RO Advising on Securities 2007-03-13 2009-12-21
ANM959 KENGETER Carsten Norbert RO Dealing in Securities 2007-02-23 2008-09-22
ANM959 KENGETER Carsten Norbert RO Advising on Securities 2007-02-23 2008-09-22
ANP650 IP Wai Lam 葉偉林 RE Dealing in Securities 2008-04-30 2010-06-26
ANP670 AGNE Mark Edward RE Dealing in Securities 2006-06-30 2006-09-26
ANP670 AGNE Mark Edward RO Dealing in Securities 2006-09-26 2016-05-21
ANP670 AGNE Mark Edward RE Advising on Securities 2006-08-24 2006-09-26
ANP670 AGNE Mark Edward RO Advising on Securities 2006-09-26 2016-05-21
ANQ569 WAN Yu Tsung 尹宇冲 RE Dealing in Securities 2006-07-11 2016-10-10
ANQ717 YEUNG Shu Hang, Vincent 楊書恆 RE Dealing in Securities 2012-04-30 2016-10-10
ANR813 SAGO Katsunori RE Dealing in Securities 2006-07-24 2008-09-30
ANR813 SAGO Katsunori RE Advising on Securities 2006-07-24 2007-05-07
ANS125 KOTO Hisanori 古東久典 RE Dealing in Securities 2006-08-04 2012-02-17
ANU564 LEE Yan Ben, Samuel 李仁本 RE Dealing in Securities 2013-08-01 2016-10-10
ANU564 LEE Yan Ben, Samuel 李仁本 RE Providing Automated Trading Services 2013-08-01 2016-10-10
ANY227 CHEESEMAN Robert Ross RE Dealing in Securities 2006-09-19 2012-03-16
AOG400 QU Man 屈曼 RE Dealing in Securities 2015-09-15 2016-10-10
AOK992 YEUNG Sze Chun, Patrick 楊思進 RE Dealing in Securities 2012-04-27 2016-10-10
AOK992 YEUNG Sze Chun, Patrick 楊思進 RE Providing Automated Trading Services 2014-07-08 2016-10-10
AOL209 KONG Luhua 孔露華 RE Dealing in Securities 2007-09-12 2011-10-19
AON377 MC TAMANEY III Robert Anthony RE Dealing in Securities 2007-02-09 2007-10-29
AON377 MC TAMANEY III Robert Anthony RO Dealing in Securities 2007-10-29 2011-07-01
AOO566 LU Peili 陸培麗 RE Dealing in Securities 2007-02-16 2011-03-26
AOO818 HARADA Akiko 原田明子 RE Dealing in Securities 2014-10-03 2016-10-10
AOT355 MA Adrian Hin Chun 馬顯俊 RE Dealing in Securities 2015-02-11 2016-10-10
AOU908 MOSER JR Ronald J RE Dealing in Securities 2008-02-15 2016-06-01
AOV062 PARK Abraham Young RE Dealing in Securities 2015-10-19 2016-10-10
AOV629 WU Hiu Fung 胡曉鋒 RE Dealing in Securities 2012-04-30 2013-10-08
AOX012 PIPLANI Dhruv RE Dealing in Securities 2007-05-11 2009-05-27
AOX012 PIPLANI Dhruv RE Dealing in Securities 2010-11-17 2011-12-12
AOX012 PIPLANI Dhruv RO Dealing in Securities 2009-05-27 2010-11-17
AOX012 PIPLANI Dhruv RO Dealing in Securities 2011-12-12 2013-06-22
APB793 WANG Jian 王堅 RE Dealing in Securities 2007-06-11 2011-07-23
APD423 GOODMAN Jamie Macnaught Rodber RE Dealing in Securities 2012-04-27 2016-10-10
APD423 GOODMAN Jamie Macnaught Rodber RE Providing Automated Trading Services 2014-07-08 2016-10-10
APF352 DOMMENGE Kevin Michael RE Dealing in Securities 2012-04-27 2015-11-25
APH300 CHEUNG Kat Cheung 張吉祥 RE Dealing in Securities 2014-05-28 2015-02-02
APJ229 NAVIN Sean Patrick RE Dealing in Securities 2012-04-27 2016-10-10
APJ229 NAVIN Sean Patrick RE Providing Automated Trading Services 2014-07-08 2016-10-10
APR027 KIM David Doopyo RE Dealing in Securities 2007-09-19 2012-04-26
APU510 LAU Wing Yiu, Jason 劉永耀 RE Dealing in Securities 2007-10-10 2008-08-16
APW450 GRUNBERGER Bo Fredrik RE Dealing in Securities 2012-04-27 2016-10-10
APZ506 LUCIDO Lorenzo Giuseppe RE Dealing in Securities 2016-03-10 2016-10-10
AQB106 SHU Hoi Ming, Karman 舒凱明 RE Dealing in Securities 2007-11-29 2016-03-02
AQI397 BEN-SHACHAR Sa-Ar David RE Dealing in Securities 2008-01-22 2016-10-10
AQI792 BAE Christopher Thomas RE Dealing in Securities 2008-01-24 2009-04-29
AQI792 BAE Christopher Thomas RO Dealing in Securities 2009-04-29 2009-07-17
AQI796 STEPHENS Anthony Jeetendra RE Dealing in Securities 2014-07-31 2016-10-10
AQM089 MASON Matthew James RE Dealing in Securities 2014-09-22 2016-10-10
AQM089 MASON Matthew James RE Providing Automated Trading Services 2014-09-22 2016-10-10
AQM091 KIM Jason Lee RE Dealing in Securities 2012-04-27 2013-08-10
AQQ106 MC CARTHY Brendan Michael RE Dealing in Securities 2009-06-25 2013-01-10
AQW031 MOHAN Siddharth RE Dealing in Securities 2013-08-01 2016-10-10
AQW031 MOHAN Siddharth RE Providing Automated Trading Services 2013-08-01 2016-10-10
ARF699 SIVAPATHASUNDARAM Radeepan RE Dealing in Securities 2008-06-20 2008-12-11
ARG186 BRUNELLO Jonathan Paul RO Dealing in Securities 2012-05-07 2012-07-04
ARG448 ALIREZA Yusuf Abdulla Yusuf Akbar RO Dealing in Securities 2011-05-25 2011-12-08
ARG448 ALIREZA Yusuf Abdulla Yusuf Akbar RO Advising on Securities 2011-05-25 2011-12-08
ARJ016 LAM Calvin Chi-him 林子謙 RE Dealing in Securities 2012-04-27 2016-10-10
ARJ016 LAM Calvin Chi-him 林子謙 RE Providing Automated Trading Services 2015-02-23 2016-10-10
ARJ841 LEE Allen Po 李尚紘 RE Dealing in Securities 2012-04-27 2012-07-21
ARM895 YANG Fan 楊帆 RE Dealing in Securities 2008-08-25 2010-06-26
ARN030 ZAGURY Alan RE Dealing in Securities 2008-08-12 2015-04-01
ARN056 MONTGOMERY James Adam RE Dealing in Securities 2012-04-27 2014-02-13
ARN061 TAM Joy Man, Jonathan 譚載文 RE Dealing in Securities 2012-04-27 2014-04-18
ARN358 KUMAR Ajay RE Dealing in Securities 2012-05-25 2016-10-10
ARN983 TANG Chun Wai, Nelson 鄧駿威 RE Dealing in Securities 2008-08-26 2010-06-26
ARW937 KIMPTON Dean Webster RE Dealing in Securities 2014-10-03 2016-10-10
ASD087 WU Ping Lam, Michael David 吳炳霖 RE Dealing in Securities 2008-12-05 2013-10-25
ASH865 SMITH Ian Micheal Corfield RE Dealing in Securities 2013-10-21 2014-09-10
ASH865 SMITH Ian Micheal Corfield RO Dealing in Securities 2014-09-10 2016-10-10
ASH865 SMITH Ian Micheal Corfield RE Providing Automated Trading Services 2013-10-21 2014-09-10
ASH865 SMITH Ian Micheal Corfield RO Providing Automated Trading Services 2014-09-10 2016-10-10
ASI356 YUAN Hong 袁鴻 RE Dealing in Securities 2013-08-01 2015-02-04
ASI356 YUAN Hong 袁鴻 RE Providing Automated Trading Services 2013-08-01 2015-02-04
ASO432 ALOGOSKOUFIS Spyros RE Dealing in Securities 2012-04-30 2014-03-21
ASU168 FERGUSON Benjamin William RO Dealing in Securities 2013-03-27 2016-10-10
ASU168 FERGUSON Benjamin William RO Providing Automated Trading Services 2013-07-11 2016-10-10
ASY640 HUTCHINS Jeff Daniel RE Dealing in Securities 2012-03-21 2013-03-30
ATB503 REINERT Alexandre Richard Harald RE Dealing in Securities 2011-08-16 2016-10-10
ATF072 CHOWDHARY Pranav RE Dealing in Securities 2012-10-16 2014-03-08
ATI096 KEKKE Shuya 結解秀哉 RO Dealing in Securities 2012-09-13 2013-03-29
ATO956 STRABO Benjamin RE Dealing in Securities 2014-06-23 2016-06-23
ATO956 STRABO Benjamin RE Providing Automated Trading Services 2014-06-23 2016-06-23
ATQ943 KIM Jeffrey Il Jung RE Dealing in Securities 2009-09-03 2012-02-15
ATV809 SUN Yiqian 孫逸潜 RE Dealing in Securities 2013-09-24 2016-10-10
AUS203 MC MAKIN III Benjamin Reese RE Dealing in Securities 2013-01-21 2016-10-10
AUS203 MC MAKIN III Benjamin Reese RE Providing Automated Trading Services 2014-07-08 2016-10-10
AUS996 FLAMAND Philippe Francois RE Dealing in Securities 2010-02-25 2012-05-01
AUX419 LAU Valerie Wai Chee 劉蕙芝 RE Dealing in Securities 2012-04-27 2013-03-26
AUZ473 MAK Wai Hang, William 麥偉恒 RE Dealing in Securities 2010-04-12 2016-10-10
AUZ473 MAK Wai Hang, William 麥偉恒 RE Providing Automated Trading Services 2014-07-08 2016-10-10
AVA622 KO Cheuk Yan 高卓仁 RE Dealing in Securities 2011-07-18 2016-10-10
AVA622 KO Cheuk Yan 高卓仁 RE Providing Automated Trading Services 2014-07-08 2016-10-10
AVA660 CHEUNG Kenneth Kai-hoi 張嘉浩 RE Dealing in Securities 2014-08-20 2014-12-06
AVD967 AGGARWALA Saurabh RE Dealing in Securities 2012-08-30 2016-10-10
AVD967 AGGARWALA Saurabh RE Providing Automated Trading Services 2016-05-25 2016-10-10
AVG783 RAJASINGHAM Arjuna RE Dealing in Securities 2012-04-27 2013-03-29
AVH197 FUNG Lap Chiu 馮立超 RE Dealing in Securities 2016-08-30 2016-10-10
AVH197 FUNG Lap Chiu 馮立超 RE Providing Automated Trading Services 2016-08-30 2016-10-10
AVO601 BOLLINGER Stefan Rolf RO Dealing in Securities 2011-12-06 2013-10-16
AVO634 FU Si Hui 符絲慧 RE Dealing in Securities 2014-09-03 2016-10-10
AVO634 FU Si Hui 符絲慧 RE Providing Automated Trading Services 2014-09-03 2016-10-10
AVS022 TANG Yue Han RE Dealing in Securities 2010-09-03 2014-05-31
AVS364 MC QUADE Ryan F RE Dealing in Securities 2012-04-27 2016-10-10
AVS738 SHEN Benjamin Guanfuu RE Dealing in Securities 2010-08-26 2012-07-07
AVV327 PEACH Nicholas Xavier Aidan RE Dealing in Securities 2014-08-18 2016-10-10
AVV327 PEACH Nicholas Xavier Aidan RE Providing Automated Trading Services 2015-12-02 2016-10-10
AVV406 SHAM Sharon Cylong 岑思朗 RE Dealing in Securities 2012-04-27 2016-10-10
AVV406 SHAM Sharon Cylong 岑思朗 RE Providing Automated Trading Services 2014-07-08 2016-10-10
AVX418 HALTERLEIN Dylan Stephen RE Dealing in Securities 2012-03-05 2013-01-01
AWD111 SABOT Florent Roland Christian RE Dealing in Securities 2010-10-27 2010-11-10
AWD931 DEATS Warren Edmund RE Dealing in Securities 2010-10-29 2012-02-25
AWG056 KRAUTHEIM Erica Shao-Ning RE Dealing in Securities 2012-05-08 2014-03-18
AXF254 GUPTA Puneet RE Dealing in Securities 2014-10-03 2016-10-10
AXG767 CHUNG Wilson James Ka Lun 鍾家綸 RE Dealing in Securities 2012-04-27 2016-05-05
AXG767 CHUNG Wilson James Ka Lun 鍾家綸 RE Providing Automated Trading Services 2014-07-08 2016-05-05
AXL409 SHAH Kush Umeshchandra RE Dealing in Securities 2012-04-27 2016-10-10
AXM105 DIXON Taylor Henry RE Dealing in Securities 2015-08-03 2016-10-10
AXM105 DIXON Taylor Henry RE Providing Automated Trading Services 2015-08-03 2016-10-10
AYA541 BYUN Hyungsoo 邊亨洙 RE Dealing in Securities 2012-10-10 2014-04-26
AYM559 WANG Chuang 王闖 RE Dealing in Securities 2012-04-27 2013-03-20
AYM560 SONG Xinran 宋欣然 RE Dealing in Securities 2012-04-27 2016-02-17
AYR079 RENNIE Andrew Kenneth RE Dealing in Securities 2012-01-03 2012-03-27
AYR079 RENNIE Andrew Kenneth RO Dealing in Securities 2012-03-27 2016-10-10
AYR079 RENNIE Andrew Kenneth RE Advising on Securities 2012-01-03 2012-03-27
AYR079 RENNIE Andrew Kenneth RO Advising on Securities 2012-03-27 2016-10-10
AYR744 LUNIA Varun RE Dealing in Securities 2015-04-08 2016-10-10
AYS877 FROMMER Maya Elizabeth RE Dealing in Securities 2012-04-27 2016-10-10
AYS877 FROMMER Maya Elizabeth RE Providing Automated Trading Services 2014-07-10 2016-10-10
AYZ602 UEDA Eiji RE Dealing in Securities 2012-02-14 2012-07-13
AYZ602 UEDA Eiji RO Dealing in Securities 2012-07-13 2016-10-10
AYZ602 UEDA Eiji RE Advising on Securities 2012-02-14 2012-07-13
AYZ602 UEDA Eiji RO Advising on Securities 2012-07-13 2016-10-10
AZE518 GUAN Bo 關博 RE Dealing in Securities 2015-08-14 2016-10-10
AZE961 LIN Leslie Diane 林黛安 RE Dealing in Securities 2014-10-03 2016-10-10
AZG727 HU Andrea Xiao 胡安琪 RE Dealing in Securities 2013-08-01 2015-06-19
AZG727 HU Andrea Xiao 胡安琪 RE Providing Automated Trading Services 2013-08-01 2015-06-19
AZH207 HIROKANE Scott Yukiji RE Dealing in Securities 2012-04-17 2016-03-16
AZI958 TANG Xiangyu 湯向宇 RE Dealing in Securities 2012-04-27 2014-04-02
AZL752 SLOYER Michael Jason RE Dealing in Securities 2012-05-25 2016-10-10
AZQ640 SHIMIZU RYO RE Dealing in Securities 2013-01-02 2016-09-30
AZQ933 SHAO Ying 邵穎 RE Dealing in Securities 2012-06-15 2014-12-12
AZQ936 BHARGAVA Nimita RE Dealing in Securities 2014-06-23 2016-03-14
AZQ936 BHARGAVA Nimita RE Providing Automated Trading Services 2014-06-23 2016-03-14
AZR002 LAU Yan Ho, Adrian 劉恩豪 RE Dealing in Securities 2012-06-18 2015-05-21
AZR331 LAM Raymond 林禮文 RE Dealing in Securities 2012-06-19 2016-10-10
AZX336 BLANCO GOMEZ Felipe RE Dealing in Securities 2015-09-04 2016-10-10
AZY951 FALIPOU Fabien Jean Roger RE Dealing in Securities 2012-08-06 2016-10-10
AZZ279 HU Kelvin V RE Dealing in Securities 2012-08-06 2015-01-29
BAA250 FAN Kai 樊鍇 RE Dealing in Securities 2012-08-09 2015-06-06
BAA252 FENG Yahui 馮雅慧 RE Dealing in Securities 2012-08-09 2014-06-28
BAB413 LEUNG Willie Pa Hung RE Dealing in Securities 2014-08-08 2016-10-10
BAB413 LEUNG Willie Pa Hung RE Providing Automated Trading Services 2014-08-08 2016-10-10
BAC068 SO Par Lum, Stephanie 蘇柏琳 RE Dealing in Securities 2012-08-30 2015-06-19
BAC068 SO Par Lum, Stephanie 蘇柏琳 RE Providing Automated Trading Services 2014-07-08 2015-06-19
BAC379 MORSE Robert Edson RE Dealing in Securities 2012-08-28 2014-02-01
BAH710 CHEN Zhihu 陳志湖 RE Dealing in Securities 2012-10-12 2015-04-28
BAJ274 RUDE Michael Gene RE Dealing in Securities 2012-11-02 2013-07-17
BBA098 ABOUD Angus Alfred Mcintyre RE Dealing in Securities 2013-03-21 2014-02-14
BBH810 RISHI Abhinav RE Dealing in Securities 2013-05-28 2016-10-10
BBJ027 YU Chung-Ling 余仲齡 RE Dealing in Securities 2013-05-29 2016-10-10
BBJ027 YU Chung-Ling 余仲齡 RE Providing Automated Trading Services 2014-07-08 2016-10-10
BBK314 SUN Fei 孫非 RE Dealing in Securities 2013-06-14 2014-12-13
BBK329 POTISHKO Dmitri RE Dealing in Securities 2013-06-14 2013-09-14
BBK329 POTISHKO Dmitri RE Dealing in Securities 2013-09-16 2013-12-23
BBK329 POTISHKO Dmitri RO Dealing in Securities 2013-12-23 2016-10-10
BBP566 KHAN Tedla Ebou RE Dealing in Securities 2014-11-27 2015-12-08
BBP566 KHAN Tedla Ebou RE Providing Automated Trading Services 2014-11-27 2015-12-08
BBS901 CHOI Jiwon RE Dealing in Securities 2015-03-16 2016-10-10
BBT323 LAW Frederick Andrew 羅頌然 RE Dealing in Securities 2013-08-26 2016-10-10
BBT323 LAW Frederick Andrew 羅頌然 RE Providing Automated Trading Services 2015-09-10 2016-10-10
BCB666 DU Xueping 杜雪萍 RE Dealing in Securities 2013-10-15 2016-10-10
BCD627 PIPERAKIS Romanos RE Dealing in Securities 2013-10-31 2016-08-01
BCD627 PIPERAKIS Romanos RE Providing Automated Trading Services 2015-12-02 2016-08-01
BCO192 OSA Kazumasa 小佐一政 RE Dealing in Securities 2013-12-27 2016-10-10
BCW134 BIRD Jonathon William RE Dealing in Securities 2014-02-10 2016-10-10
BCX231 XU Yuanjie 徐元杰 RE Dealing in Securities 2014-02-19 2016-05-12
BDA222 NGAI Kai Ian 倪佳欣 RE Dealing in Securities 2014-03-04 2014-10-04
BDA222 NGAI Kai Ian 倪佳欣 RE Providing Automated Trading Services 2014-07-08 2014-10-04
BDF264 LI Yufei 李宇飛 RE Dealing in Securities 2014-04-08 2016-04-06
BDI054 KES Jacob Leonard RE Dealing in Securities 2014-04-25 2016-10-10
BDM658 ARNOLD Benjamin Richard RE Dealing in Securities 2014-06-13 2016-02-13
BDM658 ARNOLD Benjamin Richard RE Providing Automated Trading Services 2014-06-13 2016-02-13
BDN231 HOWARD Michael Joseph RE Dealing in Securities 2014-12-08 2016-09-01
BDO592 SUNDARESAN BALASUBRAMANIAN RE Dealing in Securities 2016-07-22 2016-10-10
BDP140 KABIR Tanweer RE Dealing in Securities 2014-06-20 2016-10-10
BDR807 JOERG Jeboah Dan RE Dealing in Securities 2014-07-10 2015-06-18
BDT815 TANG Sheung Yin, Justin 鄧尚彥 RE Dealing in Securities 2014-07-16 2016-10-10
BDW985 LOZANO CARBASSE Oriol RE Dealing in Securities 2014-08-04 2016-10-10
BDX969 TAN Choon Boon RE Dealing in Securities 2014-08-08 2014-11-04
BDX969 TAN Choon Boon RE Providing Automated Trading Services 2014-08-08 2014-11-04
BDY849 CHAN Andrew Richard Honn 陳康 RE Dealing in Securities 2014-08-12 2016-10-10
BDZ177 BUTCHER Timothy Andrew RE Dealing in Securities 2014-10-03 2016-10-10
BEJ791 SO Jordan Michael Ming-kwong RE Dealing in Securities 2015-09-11 2016-10-10
BEJ791 SO Jordan Michael Ming-kwong RE Providing Automated Trading Services 2015-09-11 2016-10-10
BET699 ZHENG Ke 郑科 RE Dealing in Securities 2015-01-05 2016-06-01
BEV294 KLEINHEINZ John Burke RE Dealing in Securities 2015-01-13 2016-10-10
BEV294 KLEINHEINZ John Burke RE Providing Automated Trading Services 2015-01-13 2016-10-10
BEW644 NARULA Gurpreet Singh RE Dealing in Securities 2015-01-29 2016-10-10
BFA429 SHEN Moshe RE Dealing in Securities 2015-03-02 2016-10-10
BFA429 SHEN Moshe RE Providing Automated Trading Services 2015-03-02 2016-10-10
BFD442 CHANG Wally 張華禮 RE Dealing in Securities 2015-03-27 2016-10-10
BFF023 PLOTKIN Joseph Brenner RE Dealing in Securities 2015-04-14 2016-10-10
BFJ760 KIM Minah RE Dealing in Securities 2015-05-06 2016-04-07
BFN198 AGARWAL Shantanu RE Dealing in Securities 2015-05-29 2016-10-10
BFN208 HATANAKA Takashi 畑中隆 RE Dealing in Securities 2015-05-26 2016-07-09
BFR730 GAO Chenyu 高晨宇 RE Dealing in Securities 2015-06-24 2016-10-10
BFS275 BANSAL Samarth RE Dealing in Securities 2015-06-24 2016-10-10
BFS275 BANSAL Samarth RE Providing Automated Trading Services 2015-06-24 2016-10-10
BFT665 AGARWAL Tarun RE Dealing in Securities 2015-07-09 2016-05-24
BFT669 DIDONNA Carlo RE Dealing in Securities 2015-07-10 2016-10-02
BFU398 SRINIVAS Arjun RE Dealing in Securities 2015-07-21 2016-10-10
BFZ074 YAN Zhichao 晏志超 RE Dealing in Securities 2015-08-12 2016-10-10
BFZ079 CHOI Suzie RE Dealing in Securities 2015-08-12 2016-10-10
BFZ225 TIKOLO Oluwatobi Temitope Martins RE Dealing in Securities 2015-08-12 2016-10-10
BFZ225 TIKOLO Oluwatobi Temitope Martins RE Providing Automated Trading Services 2015-08-12 2016-10-10
BFZ266 JOHNSON Paul Anthony RE Dealing in Securities 2015-08-10 2016-10-10
BGB342 LI Xiaoyu 李笑宇 RE Dealing in Securities 2015-08-21 2016-10-10
BGH115 CHHABRIA Siddharth Deepak RE Dealing in Securities 2015-09-29 2016-10-10
BGH115 CHHABRIA Siddharth Deepak RE Providing Automated Trading Services 2015-09-29 2016-10-10
BGI778 HEAUKULANI Creighton Koapono RE Dealing in Securities 2015-10-14 2016-10-10
BGI778 HEAUKULANI Creighton Koapono RE Providing Automated Trading Services 2015-10-14 2016-10-10
BGV415 NGAN Ting Hin, Kevin 顏霆軒 RE Dealing in Securities 2016-01-15 2016-10-10
BHB754 SNEATH David William RE Dealing in Securities 2016-03-01 2016-10-10
BHD229 BUSBY James Mcalpine RE Dealing in Securities 2016-03-14 2016-07-19
BHD229 BUSBY James Mcalpine RO Dealing in Securities 2016-07-19 2016-10-10
BHF318 CHEN Fan 陳帆 RE Dealing in Securities 2016-03-23 2016-10-10
BHF458 LIU Wenyi 劉文一 RE Dealing in Securities 2016-03-24 2016-10-10
BHH092 WEBB Duncan Alexander RE Dealing in Securities 2016-04-13 2016-10-10
BHH872 BILLETT James Douglas RE Dealing in Securities 2016-04-22 2016-10-10
BHH872 BILLETT James Douglas RE Providing Automated Trading Services 2016-04-22 2016-10-10
BHK749 SUN Xiaochen 孫宵晨 RE Dealing in Securities 2016-05-04 2016-10-10
BHK749 SUN Xiaochen 孫宵晨 RE Providing Automated Trading Services 2016-05-04 2016-10-10
BHN025 AGRAWAL Anurag RE Dealing in Securities 2016-05-26 2016-10-10
BHX265 NARAYANAN Arvind RE Dealing in Securities 2016-07-29 2016-10-10
BHY096 KOO Yunhoi RE Dealing in Securities 2016-08-05 2016-10-10
BHZ251 ZHAO Siyu 趙思娛 RE Dealing in Securities 2016-08-16 2016-10-10
BHZ251 ZHAO Siyu 趙思娛 RE Providing Automated Trading Services 2016-08-16 2016-10-10

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