Below are up to 1000 licences that were found for SFC-licensed institution AAB027 on the SFC website.
J.P. Morgan Broking (Hong Kong) Limited
Key for Role: RE = Respresentative, RO = Responsible Officer
| SFC code | English name | Chinese name | Role | Activity | Start date | End date |
|---|---|---|---|---|---|---|
| AAA015 | TSIEN Pak Cheong, David | 錢柏昌 | RE | Dealing in Securities | 2003-04-01 | 2006-04-21 |
| AAA015 | TSIEN Pak Cheong, David | 錢柏昌 | RE | Advising on Securities | 2003-04-01 | 2006-04-21 |
| AAA015 | TSIEN Pak Cheong, David | 錢柏昌 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AAA015 | TSIEN Pak Cheong, David | 錢柏昌 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AAA015 | TSIEN Pak Cheong, David | 錢柏昌 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AAB001 | MURRAY Allan George | RE | Advising on Securities | 2007-04-20 | 2012-08-20 | |
| AAB001 | MURRAY Allan George | RE | Dealing in Securities | 2007-04-20 | 2012-08-20 | |
| AAB001 | MURRAY Allan George | RO | Advising on Securities | 2003-04-01 | 2007-04-20 | |
| AAB001 | MURRAY Allan George | RO | Dealing in Securities | 2003-04-01 | 2007-04-20 | |
| AAB001 | MURRAY Allan George | RO | Asset Management | 2003-04-01 | 2003-12-02 | |
| AAB001 | MURRAY Allan George | RO | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AAB001 | MURRAY Allan George | RO | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AAB860 | LUI Chi Fai | 呂志輝 | RE | Advising on Securities | 2003-04-01 | 2007-08-01 |
| AAB860 | LUI Chi Fai | 呂志輝 | RE | Dealing in Securities | 2003-04-01 | 2007-08-01 |
| AAB860 | LUI Chi Fai | 呂志輝 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AAB860 | LUI Chi Fai | 呂志輝 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AAB860 | LUI Chi Fai | 呂志輝 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Dealing in Futures Contracts | 2014-04-16 | |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Advising on Futures Contracts | 2014-04-16 | |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Advising on Securities | 2012-10-25 | 2016-10-04 |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Dealing in Securities | 2012-10-25 | 2016-10-04 |
| AAC359 | COOK Stuart Harrington | RE | Advising on Securities | 2003-04-01 | 2011-03-08 | |
| AAC359 | COOK Stuart Harrington | RE | Dealing in Securities | 2003-04-01 | 2011-03-08 | |
| AAC359 | COOK Stuart Harrington | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AAC359 | COOK Stuart Harrington | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AAC359 | COOK Stuart Harrington | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AAK404 | GITTUS Richard Alan | RE | Advising on Securities | 2003-04-01 | 2005-01-07 | |
| AAK404 | GITTUS Richard Alan | RE | Dealing in Securities | 2003-04-01 | 2005-01-07 | |
| AAK404 | GITTUS Richard Alan | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AAK404 | GITTUS Richard Alan | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AAK404 | GITTUS Richard Alan | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AAO738 | DING Lai Leung | 丁禮良 | RE | Advising on Securities | 2003-04-01 | 2005-02-25 |
| AAO738 | DING Lai Leung | 丁禮良 | RE | Dealing in Securities | 2003-04-01 | 2005-02-25 |
| AAO738 | DING Lai Leung | 丁禮良 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AAO738 | DING Lai Leung | 丁禮良 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AAO738 | DING Lai Leung | 丁禮良 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RE | Dealing in Securities | 2004-03-23 | 2010-06-11 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RE | Advising on Securities | 2004-03-23 | 2010-06-11 |
| AAV946 | LOO Kwok Wing | 盧國榮 | RE | Dealing in Securities | 2005-08-08 | 2006-06-14 |
| AAV946 | LOO Kwok Wing | 盧國榮 | RE | Advising on Securities | 2005-08-31 | 2006-06-14 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Dealing in Securities | 2006-09-04 | 2008-04-24 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Advising on Securities | 2006-09-21 | 2008-04-24 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Dealing in Futures Contracts | 2007-11-19 | 2008-04-24 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Advising on Futures Contracts | 2007-11-19 | 2008-04-24 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Advising on Securities | 2003-04-01 | 2004-02-09 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Dealing in Securities | 2003-04-01 | 2004-02-09 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Advising on Futures Contracts | 2003-12-06 | 2004-02-09 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-02-09 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 |
| AAY091 | CHAK Kwok Fai, Alan | 翟國輝 | RE | Asset Management | 2003-04-01 | 2003-09-13 |
| ABB057 | LAM Chi Wai, Dave | 林志偉 | RE | Dealing in Securities | 2008-06-04 | 2009-07-06 |
| ABB057 | LAM Chi Wai, Dave | 林志偉 | RE | Advising on Securities | 2008-06-24 | 2009-07-06 |
| ABE303 | STILES Andrew Guy | RO | Dealing in Securities | 2003-04-01 | 2003-05-27 | |
| ABE303 | STILES Andrew Guy | RO | Asset Management | 2003-04-01 | 2003-05-27 | |
| ABE303 | STILES Andrew Guy | RO | Advising on Corporate Finance | 2003-04-01 | 2003-05-27 | |
| ABE303 | STILES Andrew Guy | RO | Advising on Securities | 2003-04-01 | 2003-05-27 | |
| ABE303 | STILES Andrew Guy | RO | Providing Automated Trading Services | 2003-04-01 | 2003-05-27 | |
| ABE603 | SHIH Aaron | 施昌勤 | RE | Dealing in Securities | 2003-04-01 | 2008-12-11 |
| ABE603 | SHIH Aaron | 施昌勤 | RE | Advising on Securities | 2003-04-01 | 2008-12-11 |
| ABE603 | SHIH Aaron | 施昌勤 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ABE603 | SHIH Aaron | 施昌勤 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ABE603 | SHIH Aaron | 施昌勤 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ABG123 | PUTTERILL Adam Thomas James | RE | Dealing in Securities | 2010-05-13 | 2010-11-04 | |
| ABG123 | PUTTERILL Adam Thomas James | RE | Advising on Securities | 2010-05-13 | 2010-11-04 | |
| ABG123 | PUTTERILL Adam Thomas James | RO | Dealing in Securities | 2003-04-30 | 2010-05-13 | |
| ABG123 | PUTTERILL Adam Thomas James | RO | Advising on Securities | 2003-04-30 | 2010-05-13 | |
| ABG123 | PUTTERILL Adam Thomas James | RO | Providing Automated Trading Services | 2003-04-30 | 2003-12-02 | |
| ABG123 | PUTTERILL Adam Thomas James | RE | Dealing in Securities | 2003-04-01 | 2003-04-30 | |
| ABG123 | PUTTERILL Adam Thomas James | RE | Providing Automated Trading Services | 2003-04-01 | 2003-04-30 | |
| ABG123 | PUTTERILL Adam Thomas James | RE | Advising on Securities | 2003-04-01 | 2003-04-30 | |
| ABG123 | PUTTERILL Adam Thomas James | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-29 | |
| ABG123 | PUTTERILL Adam Thomas James | RE | Asset Management | 2003-04-01 | 2003-04-29 | |
| ABG651 | GATES Stuart James | RE | Dealing in Securities | 2003-04-01 | 2005-02-07 | |
| ABG651 | GATES Stuart James | RE | Advising on Securities | 2003-04-01 | 2005-02-07 | |
| ABG651 | GATES Stuart James | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| ABG651 | GATES Stuart James | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| ABG651 | GATES Stuart James | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| ABH991 | CHENG Wai Leung | 鄭偉良 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-05-27 |
| ABH991 | CHENG Wai Leung | 鄭偉良 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-27 |
| ABH991 | CHENG Wai Leung | 鄭偉良 | RE | Advising on Securities | 2003-04-01 | 2003-05-27 |
| ABH991 | CHENG Wai Leung | 鄭偉良 | RE | Dealing in Securities | 2003-04-01 | 2003-05-27 |
| ABH991 | CHENG Wai Leung | 鄭偉良 | RE | Asset Management | 2003-04-01 | 2003-05-27 |
| ABL554 | MOU Siu Bun, Newman | 繆肇彬 | RE | Dealing in Securities | 2006-08-14 | 2013-01-31 |
| ABL554 | MOU Siu Bun, Newman | 繆肇彬 | RE | Advising on Securities | 2006-08-14 | 2013-01-31 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Advising on Securities | 2003-04-01 | 2004-12-22 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Dealing in Securities | 2003-04-01 | 2004-12-22 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ABM251 | CHAN Wai Ngai, Myra | 陳慧艾 | RE | Dealing in Securities | 2005-05-10 | 2008-10-08 |
| ABM251 | CHAN Wai Ngai, Myra | 陳慧艾 | RE | Advising on Securities | 2005-05-10 | 2008-10-08 |
| ABM769 | SEYMOUR Steven James | RO | Dealing in Securities | 2003-04-30 | 2007-01-20 | |
| ABM769 | SEYMOUR Steven James | RO | Advising on Securities | 2003-04-30 | 2007-01-20 | |
| ABM769 | SEYMOUR Steven James | RO | Providing Automated Trading Services | 2003-04-30 | 2003-12-02 | |
| ABM769 | SEYMOUR Steven James | RE | Advising on Securities | 2003-04-01 | 2003-04-30 | |
| ABM769 | SEYMOUR Steven James | RE | Providing Automated Trading Services | 2003-04-01 | 2003-04-30 | |
| ABM769 | SEYMOUR Steven James | RE | Dealing in Securities | 2003-04-01 | 2003-04-30 | |
| ABM769 | SEYMOUR Steven James | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-29 | |
| ABM769 | SEYMOUR Steven James | RE | Asset Management | 2003-04-01 | 2003-04-29 | |
| ABM992 | FUJII Ken | RE | Advising on Futures Contracts | 2009-12-15 | 2012-07-04 | |
| ABM992 | FUJII Ken | RE | Advising on Securities | 2009-12-15 | 2012-07-04 | |
| ABM992 | FUJII Ken | RE | Dealing in Securities | 2009-12-15 | 2012-07-04 | |
| ABM992 | FUJII Ken | RE | Dealing in Futures Contracts | 2009-12-15 | 2012-07-04 | |
| ABN712 | EDWARDS Christopher James | RE | Advising on Securities | 2005-03-03 | 2006-06-23 | |
| ABN712 | EDWARDS Christopher James | RE | Dealing in Futures Contracts | 2005-03-03 | 2006-06-23 | |
| ABN712 | EDWARDS Christopher James | RE | Advising on Futures Contracts | 2005-03-03 | 2006-06-23 | |
| ABN712 | EDWARDS Christopher James | RE | Dealing in Securities | 2005-03-03 | 2006-06-23 | |
| ABQ525 | BUGEL Michael Bartus | RO | Providing Automated Trading Services | 2003-04-01 | 2003-05-27 | |
| ABQ525 | BUGEL Michael Bartus | RO | Dealing in Securities | 2003-04-01 | 2003-05-27 | |
| ABQ525 | BUGEL Michael Bartus | RO | Asset Management | 2003-04-01 | 2003-05-27 | |
| ABQ525 | BUGEL Michael Bartus | RO | Advising on Securities | 2003-04-01 | 2003-05-27 | |
| ABQ525 | BUGEL Michael Bartus | RO | Advising on Corporate Finance | 2003-04-01 | 2003-05-27 | |
| ABQ630 | SHILLABEER Bryan | RE | Dealing in Securities | 2003-04-01 | 2005-10-31 | |
| ABQ630 | SHILLABEER Bryan | RE | Advising on Securities | 2003-04-01 | 2005-10-31 | |
| ABQ630 | SHILLABEER Bryan | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| ABQ630 | SHILLABEER Bryan | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| ABQ630 | SHILLABEER Bryan | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| ABS428 | FREEDMAN Bruce Ian | RE | Advising on Securities | 2004-07-13 | 2005-10-15 | |
| ABS428 | FREEDMAN Bruce Ian | RE | Dealing in Securities | 2004-07-13 | 2005-10-15 | |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Dealing in Securities | 2003-04-01 | 2012-11-09 |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Advising on Securities | 2003-04-01 | 2012-11-09 |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Dealing in Futures Contracts | 2003-12-06 | 2012-11-09 |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Advising on Futures Contracts | 2003-12-06 | 2012-11-09 |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ABT973 | LAU Kan Wah | 劉勤華 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ABW563 | POON Nai Chuen, Aaron | 潘乃全 | RO | Advising on Futures Contracts | 2003-12-06 | 2005-03-04 |
| ABW563 | POON Nai Chuen, Aaron | 潘乃全 | RO | Dealing in Futures Contracts | 2003-12-06 | 2005-03-04 |
| ACA503 | CHEN Fei | 陳緋 | RE | Advising on Securities | 2003-07-30 | 2005-10-31 |
| ACA503 | CHEN Fei | 陳緋 | RE | Dealing in Securities | 2003-07-30 | 2005-10-31 |
| ACA503 | CHEN Fei | 陳緋 | RE | Providing Automated Trading Services | 2003-07-30 | 2003-09-23 |
| ACB074 | WONG Shu Cheung | 黃樹祥 | RE | Advising on Securities | 2004-09-16 | 2006-10-12 |
| ACB074 | WONG Shu Cheung | 黃樹祥 | RE | Dealing in Securities | 2004-09-16 | 2006-10-12 |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Dealing in Futures Contracts | 2010-03-29 | |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Advising on Futures Contracts | 2010-03-29 | |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Dealing in Securities | 2010-03-29 | 2016-10-07 |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Advising on Securities | 2010-03-29 | 2016-10-07 |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Dealing in Securities | 2007-06-13 | 2009-06-16 |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Dealing in Futures Contracts | 2007-07-27 | 2009-06-16 |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Advising on Securities | 2007-07-27 | 2009-06-16 |
| ACB673 | ZAO Audrey | 邵志佳 | RE | Advising on Futures Contracts | 2007-07-27 | 2009-06-16 |
| ACO279 | HAN Bruce Wook | RE | Dealing in Securities | 2005-11-04 | 2006-07-04 | |
| ACO279 | HAN Bruce Wook | RE | Advising on Securities | 2005-11-04 | 2006-07-04 | |
| ACU388 | BARNETT Malcolm John | RE | Dealing in Securities | 2004-05-18 | 2008-06-13 | |
| ACU388 | BARNETT Malcolm John | RE | Dealing in Futures Contracts | 2004-05-18 | 2008-06-13 | |
| ACU388 | BARNETT Malcolm John | RE | Advising on Futures Contracts | 2004-05-18 | 2008-06-13 | |
| ACU388 | BARNETT Malcolm John | RE | Advising on Securities | 2004-05-18 | 2008-06-13 | |
| ADB609 | LEE Angela Mei Lan | 李美蘭 | RE | Dealing in Futures Contracts | 2014-06-10 | |
| ADB609 | LEE Angela Mei Lan | 李美蘭 | RE | Advising on Securities | 2014-06-10 | |
| ADB609 | LEE Angela Mei Lan | 李美蘭 | RE | Advising on Futures Contracts | 2014-06-10 | |
| ADB609 | LEE Angela Mei Lan | 李美蘭 | RE | Providing Automated Trading Services | 2014-06-10 | |
| ADB609 | LEE Angela Mei Lan | 李美蘭 | RE | Dealing in Securities | 2014-06-10 | |
| ADC081 | SAUNDERS Scott Antony | RO | Dealing in Securities | 2007-07-10 | 2009-04-27 | |
| ADC081 | SAUNDERS Scott Antony | RO | Advising on Securities | 2007-07-10 | 2009-04-27 | |
| ADC081 | SAUNDERS Scott Antony | RE | Dealing in Securities | 2006-04-19 | 2007-07-10 | |
| ADC081 | SAUNDERS Scott Antony | RE | Advising on Securities | 2006-04-19 | 2007-07-10 | |
| ADD588 | GLADSTONE Thomas Xenophon | RE | Dealing in Securities | 2003-07-24 | 2012-03-20 | |
| ADD588 | GLADSTONE Thomas Xenophon | RE | Advising on Securities | 2003-07-24 | 2012-03-20 | |
| ADD588 | GLADSTONE Thomas Xenophon | RE | Providing Automated Trading Services | 2003-07-24 | 2003-12-02 | |
| ADH008 | SHEN Richard Chih Yuan | 沈智遠 | RO | Dealing in Securities | 2011-06-17 | 2015-05-18 |
| ADH008 | SHEN Richard Chih Yuan | 沈智遠 | RO | Advising on Futures Contracts | 2011-06-17 | 2015-05-18 |
| ADH008 | SHEN Richard Chih Yuan | 沈智遠 | RO | Dealing in Futures Contracts | 2011-06-17 | 2015-05-18 |
| ADH008 | SHEN Richard Chih Yuan | 沈智遠 | RO | Advising on Securities | 2011-06-17 | 2015-05-18 |
| ADH008 | SHEN Richard Chih Yuan | 沈智遠 | RO | Advising on Futures Contracts | 2008-01-14 | 2010-09-09 |
| ADH008 | SHEN Richard Chih Yuan | 沈智遠 | RO | Dealing in Futures Contracts | 2008-01-14 | 2010-09-09 |
| ADH428 | CHEUNG Yee Fan | 張懿帆 | RE | Dealing in Futures Contracts | 2008-06-05 | 2009-05-08 |
| ADH428 | CHEUNG Yee Fan | 張懿帆 | RE | Dealing in Securities | 2008-06-05 | 2009-05-08 |
| ADH428 | CHEUNG Yee Fan | 張懿帆 | RE | Advising on Futures Contracts | 2008-06-24 | 2009-05-08 |
| ADH428 | CHEUNG Yee Fan | 張懿帆 | RE | Advising on Securities | 2008-06-24 | 2009-05-08 |
| ADI942 | ULRICH Jing | RE | Advising on Securities | 2005-07-21 | 2010-08-09 | |
| ADI942 | ULRICH Jing | RE | Dealing in Securities | 2005-07-21 | 2010-08-09 | |
| ADJ380 | ANG Tai Yue, Eric | 洪大裕 | RE | Dealing in Futures Contracts | 2009-06-03 | 2010-09-20 |
| ADJ380 | ANG Tai Yue, Eric | 洪大裕 | RE | Dealing in Securities | 2009-06-03 | 2010-09-20 |
| ADJ380 | ANG Tai Yue, Eric | 洪大裕 | RE | Advising on Futures Contracts | 2009-06-24 | 2010-09-20 |
| ADJ380 | ANG Tai Yue, Eric | 洪大裕 | RE | Advising on Securities | 2009-06-24 | 2010-09-20 |
| ADL495 | CHUNG Yu Kit | 鍾宇杰 | RE | Dealing in Securities | 2003-04-01 | 2006-11-02 |
| ADL495 | CHUNG Yu Kit | 鍾宇杰 | RE | Advising on Securities | 2003-04-01 | 2006-11-02 |
| ADL495 | CHUNG Yu Kit | 鍾宇杰 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ADL495 | CHUNG Yu Kit | 鍾宇杰 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ADL495 | CHUNG Yu Kit | 鍾宇杰 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ADQ938 | LEE Sze Sze | 李詩詩 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-31 |
| ADQ938 | LEE Sze Sze | 李詩詩 | RE | Dealing in Securities | 2003-04-01 | 2003-07-31 |
| ADQ938 | LEE Sze Sze | 李詩詩 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-07-31 |
| ADQ938 | LEE Sze Sze | 李詩詩 | RE | Asset Management | 2003-04-01 | 2003-07-31 |
| ADQ938 | LEE Sze Sze | 李詩詩 | RE | Advising on Securities | 2003-04-01 | 2003-07-31 |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RO | Dealing in Futures Contracts | 2018-11-30 | |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RO | Advising on Futures Contracts | 2018-11-30 | |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RE | Dealing in Futures Contracts | 2014-06-18 | 2018-11-30 |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RE | Advising on Futures Contracts | 2014-06-18 | 2018-11-30 |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RE | Dealing in Securities | 2014-06-18 | 2016-09-20 |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RE | Advising on Securities | 2014-06-18 | 2016-09-20 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Dealing in Securities | 2003-04-01 | 2004-05-17 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Advising on Futures Contracts | 2003-12-06 | 2004-05-17 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-05-17 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ADR699 | LEUNG Tat Pui | 梁達培 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ADT663 | LEE Juwan Ju Hoon | RE | Advising on Securities | 2007-09-25 | 2010-01-11 | |
| ADT663 | LEE Juwan Ju Hoon | RE | Dealing in Securities | 2007-09-25 | 2010-01-11 | |
| ADU035 | KIM Jane Lee | RE | Dealing in Futures Contracts | 2014-06-11 | 2016-01-30 | |
| ADU035 | KIM Jane Lee | RE | Advising on Futures Contracts | 2014-06-11 | 2016-01-30 | |
| ADU035 | KIM Jane Lee | RE | Dealing in Securities | 2003-04-01 | 2014-06-11 | |
| ADU035 | KIM Jane Lee | RE | Advising on Securities | 2003-04-01 | 2014-06-11 | |
| ADU035 | KIM Jane Lee | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| ADU035 | KIM Jane Lee | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| ADU035 | KIM Jane Lee | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| ADV195 | GOMES James Edwin | RO | Advising on Securities | 2011-08-15 | 2016-07-06 | |
| ADV195 | GOMES James Edwin | RO | Dealing in Securities | 2011-08-15 | 2016-07-06 | |
| ADV195 | GOMES James Edwin | RO | Advising on Futures Contracts | 2011-08-15 | 2016-07-06 | |
| ADV195 | GOMES James Edwin | RO | Dealing in Futures Contracts | 2011-08-15 | 2016-07-06 | |
| ADV195 | GOMES James Edwin | RE | Dealing in Futures Contracts | 2003-12-06 | 2011-08-15 | |
| ADV195 | GOMES James Edwin | RE | Advising on Futures Contracts | 2003-12-06 | 2011-08-15 | |
| ADV195 | GOMES James Edwin | RE | Dealing in Securities | 2005-01-27 | 2011-08-15 | |
| ADV195 | GOMES James Edwin | RE | Advising on Securities | 2005-01-27 | 2011-08-15 | |
| ADW539 | MOORE John Francis | RE | Dealing in Securities | 2003-04-01 | 2004-02-09 | |
| ADW539 | MOORE John Francis | RE | Advising on Securities | 2003-04-01 | 2004-02-09 | |
| ADW539 | MOORE John Francis | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-02-09 | |
| ADW539 | MOORE John Francis | RE | Advising on Futures Contracts | 2003-12-06 | 2004-02-09 | |
| ADW539 | MOORE John Francis | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| ADW539 | MOORE John Francis | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| ADW539 | MOORE John Francis | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| ADW540 | SO Chi Hang, Christopher | 蘇智恆 | RE | Advising on Securities | 2003-04-01 | 2006-06-26 |
| ADW540 | SO Chi Hang, Christopher | 蘇智恆 | RE | Dealing in Securities | 2003-04-01 | 2006-06-26 |
| ADW540 | SO Chi Hang, Christopher | 蘇智恆 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ADW540 | SO Chi Hang, Christopher | 蘇智恆 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ADW540 | SO Chi Hang, Christopher | 蘇智恆 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RO | Dealing in Futures Contracts | 2008-09-24 | 2011-01-10 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RO | Advising on Futures Contracts | 2008-09-24 | 2011-01-10 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RO | Advising on Securities | 2008-09-24 | 2011-01-10 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RO | Dealing in Securities | 2008-09-24 | 2011-01-10 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RE | Dealing in Securities | 2008-04-18 | 2008-09-24 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RE | Dealing in Futures Contracts | 2008-04-18 | 2008-09-24 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RE | Advising on Securities | 2008-05-13 | 2008-09-24 |
| ADX061 | JUNG Christopher Lam | 曾俊文 | RE | Advising on Futures Contracts | 2008-05-13 | 2008-09-24 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Advising on Securities | 2003-04-01 | 2009-08-10 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Dealing in Securities | 2003-04-01 | 2009-08-10 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Dealing in Futures Contracts | 2006-01-04 | 2009-08-10 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Advising on Futures Contracts | 2006-01-04 | 2009-08-10 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| ADX658 | TAI Wing Sze, Charlotte | 戴詠詩 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RO | Advising on Futures Contracts | 2014-02-11 | |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RO | Dealing in Futures Contracts | 2014-02-11 | |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RO | Dealing in Securities | 2018-12-19 | |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RO | Advising on Securities | 2018-12-19 | |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RO | Dealing in Securities | 2014-02-11 | 2016-11-09 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RO | Advising on Securities | 2014-02-11 | 2016-11-09 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Advising on Securities | 2013-04-05 | 2014-02-11 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Advising on Futures Contracts | 2013-04-05 | 2014-02-11 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Dealing in Securities | 2013-04-05 | 2014-02-11 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Dealing in Futures Contracts | 2013-04-05 | 2014-02-11 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Dealing in Futures Contracts | 2006-04-03 | 2010-07-04 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Dealing in Securities | 2006-04-03 | 2010-07-04 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Advising on Securities | 2006-04-20 | 2010-07-04 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Advising on Futures Contracts | 2006-04-20 | 2010-07-04 |
| AEB054 | FORGAN Nicholas Playford | RO | Advising on Futures Contracts | 2003-12-06 | 2014-04-30 | |
| AEB054 | FORGAN Nicholas Playford | RO | Dealing in Futures Contracts | 2003-12-06 | 2014-04-30 | |
| AEC896 | LI Yuen Shan | 李婉珊 | RE | Dealing in Securities | 2006-06-14 | |
| AEC896 | LI Yuen Shan | 李婉珊 | RE | Advising on Securities | 2007-04-24 | |
| AED494 | ROBSON John Mcgowan | RE | Dealing in Securities | 2007-02-07 | 2007-08-01 | |
| AED494 | ROBSON John Mcgowan | RE | Advising on Securities | 2007-02-07 | 2007-08-01 | |
| AED993 | TANG Tsui Ping, Peggy | 鄧翠萍 | RE | Advising on Securities | 2003-04-01 | 2004-08-18 |
| AED993 | TANG Tsui Ping, Peggy | 鄧翠萍 | RE | Dealing in Securities | 2003-04-01 | 2004-08-18 |
| AED993 | TANG Tsui Ping, Peggy | 鄧翠萍 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AED993 | TANG Tsui Ping, Peggy | 鄧翠萍 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AED993 | TANG Tsui Ping, Peggy | 鄧翠萍 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AEE749 | HOLSHEIMER Ryan Hans | RO | Advising on Futures Contracts | 2016-01-15 | ||
| AEE749 | HOLSHEIMER Ryan Hans | RO | Dealing in Securities | 2016-01-15 | ||
| AEE749 | HOLSHEIMER Ryan Hans | RO | Providing Automated Trading Services | 2016-01-15 | ||
| AEE749 | HOLSHEIMER Ryan Hans | RO | Dealing in Futures Contracts | 2016-01-15 | ||
| AEE749 | HOLSHEIMER Ryan Hans | RO | Advising on Securities | 2016-01-15 | ||
| AEE749 | HOLSHEIMER Ryan Hans | RE | Advising on Futures Contracts | 2015-05-26 | 2016-01-15 | |
| AEE749 | HOLSHEIMER Ryan Hans | RE | Dealing in Securities | 2015-05-26 | 2016-01-15 | |
| AEE749 | HOLSHEIMER Ryan Hans | RE | Advising on Securities | 2015-05-26 | 2016-01-15 | |
| AEE749 | HOLSHEIMER Ryan Hans | RE | Dealing in Futures Contracts | 2015-05-26 | 2016-01-15 | |
| AEE749 | HOLSHEIMER Ryan Hans | RE | Providing Automated Trading Services | 2015-05-26 | 2016-01-15 | |
| AEF253 | CHAN Kwok Wai, Spencer | 陳國偉 | RE | Advising on Securities | 2003-04-01 | 2006-03-03 |
| AEF253 | CHAN Kwok Wai, Spencer | 陳國偉 | RE | Dealing in Securities | 2003-04-01 | 2006-03-03 |
| AEF253 | CHAN Kwok Wai, Spencer | 陳國偉 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AEF253 | CHAN Kwok Wai, Spencer | 陳國偉 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AEF253 | CHAN Kwok Wai, Spencer | 陳國偉 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AEF379 | SZE Mei Kuen | 施美娟 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-04-30 |
| AEF379 | SZE Mei Kuen | 施美娟 | RE | Advising on Securities | 2003-04-01 | 2003-04-30 |
| AEF379 | SZE Mei Kuen | 施美娟 | RE | Dealing in Securities | 2003-04-01 | 2003-04-30 |
| AEF379 | SZE Mei Kuen | 施美娟 | RE | Asset Management | 2003-04-01 | 2003-04-30 |
| AEF379 | SZE Mei Kuen | 施美娟 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-30 |
| AEK492 | YIP Cheuk Wai | 葉卓偉 | RE | Advising on Securities | 2003-11-04 | 2008-10-15 |
| AEK492 | YIP Cheuk Wai | 葉卓偉 | RE | Dealing in Securities | 2003-11-04 | 2008-10-15 |
| AEK492 | YIP Cheuk Wai | 葉卓偉 | RE | Advising on Futures Contracts | 2004-10-14 | 2008-10-15 |
| AEK492 | YIP Cheuk Wai | 葉卓偉 | RE | Dealing in Futures Contracts | 2004-10-14 | 2008-10-15 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Advising on Securities | 2003-04-01 | 2006-08-09 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Dealing in Securities | 2003-04-01 | 2006-08-09 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Advising on Futures Contracts | 2003-12-06 | 2006-08-09 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Dealing in Futures Contracts | 2003-12-06 | 2006-08-09 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AEK664 | AU Yuen Ting, Miranda | 區婉婷 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AEN687 | CHU Pak Ning, Patrick | 朱柏寧 | RE | Advising on Futures Contracts | 2012-04-13 | |
| AEN687 | CHU Pak Ning, Patrick | 朱柏寧 | RE | Dealing in Futures Contracts | 2012-04-13 | |
| AEN687 | CHU Pak Ning, Patrick | 朱柏寧 | RE | Advising on Securities | 2012-04-13 | 2016-10-11 |
| AEN687 | CHU Pak Ning, Patrick | 朱柏寧 | RE | Dealing in Securities | 2012-04-13 | 2016-10-11 |
| AEO696 | CHEN Chien-yao | 陳建堯 | RE | Advising on Securities | 2003-04-01 | 2007-01-31 |
| AEO696 | CHEN Chien-yao | 陳建堯 | RE | Dealing in Securities | 2003-04-01 | 2007-01-31 |
| AEO696 | CHEN Chien-yao | 陳建堯 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AEO696 | CHEN Chien-yao | 陳建堯 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AEO696 | CHEN Chien-yao | 陳建堯 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AEQ060 | RAMAN Lalita | RE | Dealing in Securities | 2007-08-01 | 2009-07-06 | |
| AEQ060 | RAMAN Lalita | RE | Advising on Securities | 2007-08-15 | 2009-07-06 | |
| AEQ060 | RAMAN Lalita | RE | Advising on Futures Contracts | 2007-08-15 | 2009-07-06 | |
| AEQ060 | RAMAN Lalita | RE | Dealing in Futures Contracts | 2007-08-15 | 2009-07-06 | |
| AEQ086 | LUK Yin Man | 陸燕雯 | RE | Advising on Securities | 2003-04-01 | 2007-07-18 |
| AEQ086 | LUK Yin Man | 陸燕雯 | RE | Dealing in Securities | 2003-04-01 | 2007-07-18 |
| AEQ086 | LUK Yin Man | 陸燕雯 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AEQ086 | LUK Yin Man | 陸燕雯 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AEQ086 | LUK Yin Man | 陸燕雯 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AEQ545 | MAHAPATRA Sidharth | RE | Dealing in Securities | 2003-04-01 | 2006-04-19 | |
| AEQ545 | MAHAPATRA Sidharth | RE | Advising on Securities | 2003-04-01 | 2006-04-19 | |
| AEQ545 | MAHAPATRA Sidharth | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AEQ545 | MAHAPATRA Sidharth | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AEQ545 | MAHAPATRA Sidharth | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AER410 | LAM Iok Chan, Michelle | 林玉珍 | RE | Asset Management | 2003-04-01 | 2003-05-27 |
| AER410 | LAM Iok Chan, Michelle | 林玉珍 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-05-27 |
| AER410 | LAM Iok Chan, Michelle | 林玉珍 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-27 |
| AER410 | LAM Iok Chan, Michelle | 林玉珍 | RE | Advising on Securities | 2003-04-01 | 2003-05-27 |
| AER410 | LAM Iok Chan, Michelle | 林玉珍 | RE | Dealing in Securities | 2003-04-01 | 2003-05-27 |
| AEW987 | LAU Wing Sin | 劉永善 | RE | Dealing in Futures Contracts | 2012-06-21 | 2013-02-08 |
| AEW987 | LAU Wing Sin | 劉永善 | RE | Advising on Futures Contracts | 2012-06-21 | 2013-02-08 |
| AEW987 | LAU Wing Sin | 劉永善 | RE | Advising on Securities | 2008-08-28 | 2011-04-06 |
| AEW987 | LAU Wing Sin | 劉永善 | RE | Dealing in Securities | 2008-08-28 | 2011-04-06 |
| AFA128 | YEUNG Kit Lun, Helen | 楊潔賢 | RE | Dealing in Securities | 2003-04-01 | 2010-05-07 |
| AFA128 | YEUNG Kit Lun, Helen | 楊潔賢 | RE | Advising on Securities | 2003-04-01 | 2010-05-07 |
| AFA128 | YEUNG Kit Lun, Helen | 楊潔賢 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 |
| AFA128 | YEUNG Kit Lun, Helen | 楊潔賢 | RE | Asset Management | 2003-04-01 | 2003-09-13 |
| AFA128 | YEUNG Kit Lun, Helen | 楊潔賢 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 |
| AFA569 | MICHEL Christoph Walter Adrian | RE | Providing Automated Trading Services | 2003-04-01 | 2003-10-13 | |
| AFA569 | MICHEL Christoph Walter Adrian | RE | Advising on Corporate Finance | 2003-04-01 | 2003-10-13 | |
| AFA569 | MICHEL Christoph Walter Adrian | RE | Advising on Securities | 2003-04-01 | 2003-10-13 | |
| AFA569 | MICHEL Christoph Walter Adrian | RE | Asset Management | 2003-04-01 | 2003-10-13 | |
| AFA569 | MICHEL Christoph Walter Adrian | RE | Dealing in Securities | 2003-04-01 | 2003-10-13 | |
| AFB389 | WILLIAMS David Charles | RE | Dealing in Futures Contracts | 2007-09-03 | 2012-02-01 | |
| AFB389 | WILLIAMS David Charles | RE | Dealing in Securities | 2007-09-03 | 2012-02-01 | |
| AFB389 | WILLIAMS David Charles | RE | Advising on Futures Contracts | 2007-09-03 | 2012-02-01 | |
| AFB389 | WILLIAMS David Charles | RE | Advising on Securities | 2007-09-03 | 2012-02-01 | |
| AFB901 | GATTANI Vikaskumar Nandkishore | RE | Dealing in Securities | 2005-08-26 | 2007-03-27 | |
| AFB901 | GATTANI Vikaskumar Nandkishore | RE | Advising on Securities | 2005-08-30 | 2007-03-27 | |
| AFD300 | SHANIDZE Levan | RE | Advising on Securities | 2003-04-01 | 2005-10-06 | |
| AFD300 | SHANIDZE Levan | RE | Dealing in Securities | 2003-04-01 | 2005-10-06 | |
| AFD300 | SHANIDZE Levan | RE | Advising on Futures Contracts | 2003-12-06 | 2005-10-06 | |
| AFD300 | SHANIDZE Levan | RE | Dealing in Futures Contracts | 2003-12-06 | 2005-10-06 | |
| AFD300 | SHANIDZE Levan | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AFD300 | SHANIDZE Levan | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AFD300 | SHANIDZE Levan | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AFE851 | WU Elvira Veronica | 伍伊薇 | RE | Advising on Securities | 2004-06-30 | 2005-04-14 |
| AFE851 | WU Elvira Veronica | 伍伊薇 | RE | Dealing in Securities | 2004-06-30 | 2005-04-14 |
| AFE851 | WU Elvira Veronica | 伍伊薇 | RE | Dealing in Futures Contracts | 2004-06-30 | 2005-04-14 |
| AFE851 | WU Elvira Veronica | 伍伊薇 | RE | Advising on Futures Contracts | 2004-06-30 | 2005-04-14 |
| AFF232 | STRACHAN David Lyall | RO | Dealing in Futures Contracts | 2004-04-16 | 2013-01-29 | |
| AFF232 | STRACHAN David Lyall | RO | Advising on Futures Contracts | 2004-04-16 | 2013-01-29 | |
| AFF232 | STRACHAN David Lyall | RO | Dealing in Securities | 2004-12-15 | 2005-06-21 | |
| AFF232 | STRACHAN David Lyall | RO | Advising on Securities | 2004-12-15 | 2005-06-21 | |
| AFF232 | STRACHAN David Lyall | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-04-16 | |
| AFF232 | STRACHAN David Lyall | RE | Advising on Futures Contracts | 2003-12-06 | 2004-04-16 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Dealing in Securities | 2003-04-01 | 2007-02-08 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Advising on Securities | 2003-04-01 | 2007-02-08 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Dealing in Futures Contracts | 2003-12-06 | 2007-02-08 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Advising on Futures Contracts | 2003-12-06 | 2007-02-08 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 | |
| AFF234 | SWARBRICK Andrew Jeremy | RE | Asset Management | 2003-04-01 | 2003-09-13 | |
| AFG685 | CHOI Sheung Ngai | 蔡尚毅 | RE | Dealing in Securities | 2006-12-13 | 2013-08-21 |
| AFG685 | CHOI Sheung Ngai | 蔡尚毅 | RE | Advising on Securities | 2007-01-18 | 2013-08-21 |
| AFG885 | HAN Edward | 韓烱皙 | RE | Advising on Securities | 2003-04-01 | 2005-09-05 |
| AFG885 | HAN Edward | 韓烱皙 | RE | Dealing in Securities | 2003-04-01 | 2005-09-05 |
| AFG885 | HAN Edward | 韓烱皙 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AFG885 | HAN Edward | 韓烱皙 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AFG885 | HAN Edward | 韓烱皙 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AFM432 | YEUNG Pui Fung, Anna | 楊佩鳳 | RE | Advising on Securities | 2003-08-05 | 2010-07-30 |
| AFM432 | YEUNG Pui Fung, Anna | 楊佩鳳 | RE | Dealing in Securities | 2003-08-05 | 2010-07-30 |
| AFM432 | YEUNG Pui Fung, Anna | 楊佩鳳 | RE | Providing Automated Trading Services | 2003-08-05 | 2003-12-02 |
| AFQ511 | POON Ho Yan, Ada | 潘可欣 | RE | Dealing in Securities | 2006-08-21 | 2011-02-21 |
| AFQ511 | POON Ho Yan, Ada | 潘可欣 | RE | Advising on Securities | 2007-03-01 | 2011-02-21 |
| AFS557 | PAO Chi King, Kim | 包子敬 | RE | Advising on Securities | 2004-05-07 | 2005-02-22 |
| AFS557 | PAO Chi King, Kim | 包子敬 | RE | Dealing in Securities | 2004-05-07 | 2005-02-22 |
| AFT910 | SAYER David Michael | RO | Dealing in Futures Contracts | 2009-03-18 | 2012-07-28 | |
| AFT910 | SAYER David Michael | RO | Advising on Futures Contracts | 2009-03-18 | 2012-07-28 | |
| AFT910 | SAYER David Michael | RO | Dealing in Securities | 2009-03-18 | 2012-07-28 | |
| AFT910 | SAYER David Michael | RO | Advising on Securities | 2009-03-18 | 2012-07-28 | |
| AFT910 | SAYER David Michael | RO | Providing Automated Trading Services | 2012-02-09 | 2012-07-28 | |
| AFT910 | SAYER David Michael | RE | Dealing in Securities | 2005-11-28 | 2009-03-18 | |
| AFT910 | SAYER David Michael | RE | Advising on Securities | 2005-11-29 | 2009-03-18 | |
| AFT910 | SAYER David Michael | RE | Advising on Futures Contracts | 2005-11-29 | 2009-03-18 | |
| AFT910 | SAYER David Michael | RE | Dealing in Futures Contracts | 2005-11-29 | 2009-03-18 | |
| AFT910 | SAYER David Michael | RE | Advising on Securities | 2003-04-01 | 2004-05-06 | |
| AFT910 | SAYER David Michael | RE | Dealing in Securities | 2003-04-01 | 2004-05-06 | |
| AFT910 | SAYER David Michael | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-05-06 | |
| AFT910 | SAYER David Michael | RE | Advising on Futures Contracts | 2003-12-06 | 2004-05-06 | |
| AFT910 | SAYER David Michael | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 | |
| AFT910 | SAYER David Michael | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 | |
| AFT910 | SAYER David Michael | RE | Asset Management | 2003-04-01 | 2003-09-13 | |
| AFU334 | LONG David Nicholas | RO | Dealing in Securities | 2003-04-01 | 2007-01-31 | |
| AFU334 | LONG David Nicholas | RO | Advising on Securities | 2003-12-02 | 2007-01-31 | |
| AFU334 | LONG David Nicholas | RO | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AFU567 | GU Haibo | 古海波 | RE | Dealing in Securities | 2010-09-01 | 2011-05-13 |
| AFU567 | GU Haibo | 古海波 | RE | Advising on Securities | 2010-09-01 | 2011-05-13 |
| AFU681 | HUANG Thomas Chung-Ming | 黃崇銘 | RE | Dealing in Securities | 2006-11-02 | 2008-06-13 |
| AFU681 | HUANG Thomas Chung-Ming | 黃崇銘 | RE | Advising on Securities | 2006-11-02 | 2008-06-13 |
| AFW098 | WONG King Wai, Gilbert | 黃景威 | RE | Advising on Securities | 2005-12-08 | 2009-10-08 |
| AFW098 | WONG King Wai, Gilbert | 黃景威 | RE | Dealing in Securities | 2005-12-08 | 2009-10-08 |
| AFX849 | YANG Bok Sun | RE | Dealing in Futures Contracts | 2007-06-29 | 2010-06-08 | |
| AFX849 | YANG Bok Sun | RE | Dealing in Securities | 2007-06-29 | 2010-06-08 | |
| AFX849 | YANG Bok Sun | RE | Advising on Securities | 2007-07-06 | 2010-06-08 | |
| AFX849 | YANG Bok Sun | RE | Advising on Futures Contracts | 2007-07-06 | 2010-06-08 | |
| AGA798 | PODBURY Christopher Andrew | RE | Advising on Securities | 2003-04-01 | 2006-03-11 | |
| AGA798 | PODBURY Christopher Andrew | RE | Dealing in Securities | 2003-04-01 | 2006-03-11 | |
| AGA798 | PODBURY Christopher Andrew | RE | Advising on Futures Contracts | 2003-12-06 | 2006-03-11 | |
| AGA798 | PODBURY Christopher Andrew | RE | Dealing in Futures Contracts | 2003-12-06 | 2006-03-11 | |
| AGA798 | PODBURY Christopher Andrew | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AGA798 | PODBURY Christopher Andrew | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AGA798 | PODBURY Christopher Andrew | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AGF159 | LAU Yue Che, Adam | 劉宇池 | RE | Advising on Securities | 2006-05-02 | 2007-02-26 |
| AGH168 | LAU Joseph Han Wai | 劉恆瑋 | RO | Advising on Futures Contracts | 2019-01-28 | |
| AGH168 | LAU Joseph Han Wai | 劉恆瑋 | RO | Dealing in Futures Contracts | 2019-01-28 | |
| AGH168 | LAU Joseph Han Wai | 劉恆瑋 | RE | Advising on Futures Contracts | 2015-11-18 | 2019-01-28 |
| AGH168 | LAU Joseph Han Wai | 劉恆瑋 | RE | Dealing in Futures Contracts | 2015-11-18 | 2019-01-28 |
| AGH168 | LAU Joseph Han Wai | 劉恆瑋 | RE | Dealing in Securities | 2015-11-18 | 2016-10-17 |
| AGH168 | LAU Joseph Han Wai | 劉恆瑋 | RE | Advising on Securities | 2015-11-18 | 2016-10-17 |
| AGH254 | BELL Edward Holden | RE | Advising on Futures Contracts | 2011-10-03 | ||
| AGH254 | BELL Edward Holden | RE | Dealing in Futures Contracts | 2011-10-03 | ||
| AGH254 | BELL Edward Holden | RE | Advising on Securities | 2003-04-01 | 2016-09-19 | |
| AGH254 | BELL Edward Holden | RE | Dealing in Securities | 2003-04-01 | 2016-09-19 | |
| AGH254 | BELL Edward Holden | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AGH254 | BELL Edward Holden | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AGH254 | BELL Edward Holden | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AGL440 | JIP Allan | RE | Advising on Futures Contracts | 2018-02-12 | 2018-02-13 | |
| AGL440 | JIP Allan | RE | Dealing in Futures Contracts | 2018-02-12 | 2018-02-13 | |
| AGL440 | JIP Allan | RE | Advising on Futures Contracts | 2017-10-19 | 2017-10-20 | |
| AGL440 | JIP Allan | RE | Dealing in Futures Contracts | 2017-10-19 | 2017-10-20 | |
| AGL440 | JIP Allan | RO | Dealing in Futures Contracts | 2003-12-06 | 2014-10-31 | |
| AGL440 | JIP Allan | RO | Advising on Futures Contracts | 2003-12-06 | 2014-10-31 | |
| AGL440 | JIP Allan | RO | Dealing in Securities | 2004-12-15 | 2014-10-31 | |
| AGL440 | JIP Allan | RO | Advising on Securities | 2004-12-15 | 2014-10-31 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Advising on Securities | 2003-04-01 | 2006-02-03 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Dealing in Securities | 2003-04-01 | 2006-02-03 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Advising on Futures Contracts | 2003-12-06 | 2006-02-03 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Dealing in Futures Contracts | 2003-12-06 | 2006-02-03 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Asset Management | 2003-04-01 | 2003-09-13 | |
| AGM551 | BAMBER Richard Mark Anthony | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 | |
| AGN385 | PADMANABAN Prasad | RE | Dealing in Securities | 2003-04-01 | 2011-04-13 | |
| AGN385 | PADMANABAN Prasad | RE | Advising on Securities | 2003-04-01 | 2011-04-13 | |
| AGN385 | PADMANABAN Prasad | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AGN385 | PADMANABAN Prasad | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AGN385 | PADMANABAN Prasad | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AGO293 | CHOW Chin Shuen, Stella | 鄒展璇 | RE | Advising on Futures Contracts | 2014-04-11 | 2016-08-15 |
| AGO293 | CHOW Chin Shuen, Stella | 鄒展璇 | RE | Dealing in Futures Contracts | 2014-04-11 | 2016-08-15 |
| AGO293 | CHOW Chin Shuen, Stella | 鄒展璇 | RE | Dealing in Securities | 2011-06-21 | 2014-03-24 |
| AGO293 | CHOW Chin Shuen, Stella | 鄒展璇 | RE | Advising on Securities | 2011-06-21 | 2014-03-24 |
| AGO293 | CHOW Chin Shuen, Stella | 鄒展璇 | RE | Advising on Securities | 2007-07-03 | 2010-08-05 |
| AGO293 | CHOW Chin Shuen, Stella | 鄒展璇 | RE | Dealing in Securities | 2007-07-03 | 2010-08-05 |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Dealing in Securities | 2003-04-01 | 2010-11-02 | |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Advising on Securities | 2003-04-01 | 2010-11-02 | |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Advising on Futures Contracts | 2003-12-06 | 2010-11-02 | |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Dealing in Futures Contracts | 2003-12-06 | 2010-11-02 | |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AGT475 | LINSCHOTEN Jean-Paul | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AGT922 | LAST Timothy Philip | RE | Advising on Securities | 2003-04-01 | 2004-03-17 | |
| AGT922 | LAST Timothy Philip | RE | Dealing in Securities | 2003-04-01 | 2004-03-17 | |
| AGT922 | LAST Timothy Philip | RE | Advising on Futures Contracts | 2003-12-06 | 2004-03-17 | |
| AGT922 | LAST Timothy Philip | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-03-17 | |
| AGT922 | LAST Timothy Philip | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AGT922 | LAST Timothy Philip | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AGT922 | LAST Timothy Philip | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AGU672 | GOODMAN Paul Jonathan | 古德曼 | RE | Dealing in Securities | 2007-07-09 | 2011-04-23 |
| AGU672 | GOODMAN Paul Jonathan | 古德曼 | RE | Advising on Securities | 2007-07-09 | 2011-04-23 |
| AGU672 | GOODMAN Paul Jonathan | 古德曼 | RE | Advising on Futures Contracts | 2007-10-12 | 2011-04-23 |
| AGU672 | GOODMAN Paul Jonathan | 古德曼 | RE | Dealing in Futures Contracts | 2007-10-12 | 2011-04-23 |
| AGZ861 | HARRIS Thomas Christopher | RE | Dealing in Securities | 2003-04-01 | 2004-11-01 | |
| AGZ861 | HARRIS Thomas Christopher | RE | Advising on Securities | 2003-04-01 | 2004-11-01 | |
| AGZ861 | HARRIS Thomas Christopher | RE | Asset Management | 2003-04-01 | 2003-09-13 | |
| AGZ861 | HARRIS Thomas Christopher | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 | |
| AGZ861 | HARRIS Thomas Christopher | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 | |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Dealing in Securities | 2008-06-05 | 2010-10-19 |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Dealing in Futures Contracts | 2008-06-05 | 2010-10-19 |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Advising on Futures Contracts | 2008-06-24 | 2010-10-19 |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Advising on Securities | 2008-06-24 | 2010-10-19 |
| AHE465 | SMITHSON Travis Lorne | RE | Advising on Securities | 2003-04-01 | 2010-05-26 | |
| AHE465 | SMITHSON Travis Lorne | RE | Dealing in Securities | 2003-04-01 | 2010-05-26 | |
| AHE465 | SMITHSON Travis Lorne | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AHE465 | SMITHSON Travis Lorne | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AHE465 | SMITHSON Travis Lorne | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AHJ805 | OU Wai Fong | RE | Dealing in Futures Contracts | 2006-01-25 | 2008-03-04 | |
| AHJ805 | OU Wai Fong | RE | Dealing in Securities | 2006-01-25 | 2008-03-04 | |
| AHJ805 | OU Wai Fong | RE | Advising on Futures Contracts | 2006-02-08 | 2008-03-04 | |
| AHJ805 | OU Wai Fong | RE | Advising on Securities | 2006-02-08 | 2008-03-04 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Advising on Securities | 2003-04-01 | 2004-02-09 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Dealing in Securities | 2003-04-01 | 2004-02-09 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Dealing in Futures Contracts | 2003-12-06 | 2004-02-09 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Advising on Futures Contracts | 2003-12-06 | 2004-02-09 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AHL561 | LONGCROFT Nicholas Edward Stoddart | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AHP526 | WHEELER Daniel Raymond | RE | Advising on Corporate Finance | 2003-04-01 | 2003-08-01 | |
| AHP526 | WHEELER Daniel Raymond | RE | Dealing in Securities | 2003-04-01 | 2003-08-01 | |
| AHP526 | WHEELER Daniel Raymond | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-01 | |
| AHP526 | WHEELER Daniel Raymond | RE | Asset Management | 2003-04-01 | 2003-08-01 | |
| AHP526 | WHEELER Daniel Raymond | RE | Advising on Securities | 2003-04-01 | 2003-08-01 | |
| AHP766 | LEE Kei Leung, William | 李基樑 | RO | Advising on Securities | 2005-08-18 | 2012-02-28 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RO | Dealing in Securities | 2005-08-18 | 2012-02-28 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RO | Advising on Futures Contracts | 2008-07-17 | 2012-02-28 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RO | Dealing in Futures Contracts | 2008-07-17 | 2012-02-28 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Advising on Futures Contracts | 2004-07-27 | 2008-07-17 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Dealing in Futures Contracts | 2004-07-27 | 2008-07-17 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Dealing in Securities | 2003-04-01 | 2005-08-18 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Advising on Securities | 2003-04-01 | 2005-08-18 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AHP766 | LEE Kei Leung, William | 李基樑 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AHR050 | TREMLETT William | RE | Dealing in Securities | 2003-04-01 | 2004-05-07 | |
| AHR050 | TREMLETT William | RE | Advising on Securities | 2003-04-01 | 2004-05-07 | |
| AHR050 | TREMLETT William | RE | Asset Management | 2003-04-01 | 2003-09-13 | |
| AHR050 | TREMLETT William | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-13 | |
| AHR050 | TREMLETT William | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 | |
| AHR316 | GORAWARA Abhinav | RE | Advising on Securities | 2003-10-20 | 2005-02-22 | |
| AHR316 | GORAWARA Abhinav | RE | Dealing in Securities | 2003-10-20 | 2005-02-22 | |
| AHR787 | HOWARD Stephen Douglas | RE | Dealing in Securities | 2003-04-01 | 2004-08-18 | |
| AHR787 | HOWARD Stephen Douglas | RE | Advising on Securities | 2003-04-01 | 2004-08-18 | |
| AHR787 | HOWARD Stephen Douglas | RE | Asset Management | 2003-04-01 | 2003-12-02 | |
| AHR787 | HOWARD Stephen Douglas | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 | |
| AHR787 | HOWARD Stephen Douglas | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 | |
| AHT093 | CHENG Jazreel Yeun Yee | 鄭婉儀 | RE | Dealing in Futures Contracts | 2008-06-18 | 2008-12-15 |
| AHT093 | CHENG Jazreel Yeun Yee | 鄭婉儀 | RE | Dealing in Securities | 2008-06-18 | 2008-12-15 |
| AHT093 | CHENG Jazreel Yeun Yee | 鄭婉儀 | RE | Advising on Securities | 2008-07-14 | 2008-12-15 |
| AHT093 | CHENG Jazreel Yeun Yee | 鄭婉儀 | RE | Advising on Futures Contracts | 2008-07-14 | 2008-12-15 |
| AHV111 | LAM Wan Yee, Cynthia | 林蘊怡 | RE | Dealing in Securities | 2011-08-08 | 2013-08-19 |
| AHV111 | LAM Wan Yee, Cynthia | 林蘊怡 | RE | Advising on Securities | 2011-08-08 | 2013-08-19 |
| AHX658 | LAU Hon Wei | 劉豐輝 | RE | Advising on Securities | 2006-08-14 | 2008-12-15 |
| AHX658 | LAU Hon Wei | 劉豐輝 | RE | Dealing in Securities | 2006-08-14 | 2008-12-15 |
| AIB753 | COWPERTHWAITE Adam Aaron | RE | Asset Management | 2003-04-01 | 2003-07-18 | |
| AIB753 | COWPERTHWAITE Adam Aaron | RE | Advising on Securities | 2003-04-01 | 2003-07-18 | |
| AIB753 | COWPERTHWAITE Adam Aaron | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-18 | |
| AIB753 | COWPERTHWAITE Adam Aaron | RE | Providing Automated Trading Services | 2003-04-01 | 2003-07-18 | |
| AIB753 | COWPERTHWAITE Adam Aaron | RE | Dealing in Securities | 2003-04-01 | 2003-07-18 | |
| AIC317 | FRIEDLANDER Jesse | RE | Dealing in Securities | 2006-07-28 | 2007-02-22 | |
| AIC317 | FRIEDLANDER Jesse | RE | Advising on Securities | 2006-07-28 | 2007-02-22 | |
| AIC441 | SHROPSHIRE William | RE | Asset Management | 2003-04-01 | 2003-05-30 | |
| AIC441 | SHROPSHIRE William | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-30 | |
| AIC441 | SHROPSHIRE William | RE | Advising on Securities | 2003-04-01 | 2003-05-30 | |
| AIC441 | SHROPSHIRE William | RE | Providing Automated Trading Services | 2003-04-01 | 2003-05-30 | |
| AIC441 | SHROPSHIRE William | RE | Dealing in Securities | 2003-04-01 | 2003-05-30 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Advising on Securities | 2003-10-22 | 2007-02-24 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Dealing in Securities | 2003-10-22 | 2007-02-24 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Dealing in Securities | 2003-04-01 | 2003-09-17 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Asset Management | 2003-04-01 | 2003-09-17 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Providing Automated Trading Services | 2003-04-01 | 2003-09-17 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Advising on Securities | 2003-04-01 | 2003-09-17 | |
| AII679 | EL-HABEL Fawaz Sobhi | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-17 | |
| AIN733 | MCFERRAN Jack Howard Egar | RE | Dealing in Securities | 2004-04-21 | 2007-01-31 | |
| AIN733 | MCFERRAN Jack Howard Egar | RE | Advising on Securities | 2004-04-21 | 2007-01-31 | |
| AIN998 | TAN Sabrina Ong | 陳美美 | RE | Dealing in Securities | 2003-04-01 | 2010-05-26 |
| AIN998 | TAN Sabrina Ong | 陳美美 | RE | Advising on Securities | 2003-04-01 | 2010-05-26 |
| AIN998 | TAN Sabrina Ong | 陳美美 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-12-02 |
| AIN998 | TAN Sabrina Ong | 陳美美 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-02 |
| AIN998 | TAN Sabrina Ong | 陳美美 | RE | Asset Management | 2003-04-01 | 2003-12-02 |
| AIR624 | HOUNSLOW Neil Patrick | RE | Advising on Futures Contracts | 2011-11-15 | 2016-05-20 | |
| AIR624 | HOUNSLOW Neil Patrick | RE | Dealing in Futures Contracts | 2011-11-15 | 2016-05-20 | |
| AIR624 | HOUNSLOW Neil Patrick | RO | Advising on Securities | 2012-07-11 | 2015-12-11 | |
| AIR624 | HOUNSLOW Neil Patrick | RO | Dealing in Securities | 2012-07-11 | 2015-12-11 | |
| AIZ595 | CHANG Hosun | 張鎬善 | RE | Advising on Securities | 2003-06-02 | 2010-04-20 |
| AIZ595 | CHANG Hosun | 張鎬善 | RE | Dealing in Securities | 2003-06-02 | 2010-04-20 |
| AIZ595 | CHANG Hosun | 張鎬善 | RE | Advising on Futures Contracts | 2003-12-06 | 2010-04-20 |
| AIZ595 | CHANG Hosun | 張鎬善 | RE | Dealing in Futures Contracts | 2003-12-06 | 2010-04-20 |
| AIZ595 | CHANG Hosun | 張鎬善 | RE | Providing Automated Trading Services | 2003-06-02 | 2003-12-02 |
| AJB102 | SIN Monique Wing Sheung | 冼泳湘 | RE | Dealing in Securities | 2003-06-24 | 2005-02-23 |
| AJB102 | SIN Monique Wing Sheung | 冼泳湘 | RE | Advising on Securities | 2003-06-24 | 2005-02-23 |
| AJB102 | SIN Monique Wing Sheung | 冼泳湘 | RE | Advising on Futures Contracts | 2003-12-06 | 2005-02-23 |
| AJB102 | SIN Monique Wing Sheung | 冼泳湘 | RE | Dealing in Futures Contracts | 2003-12-06 | 2005-02-23 |
| AJB102 | SIN Monique Wing Sheung | 冼泳湘 | RE | Providing Automated Trading Services | 2003-06-24 | 2003-12-02 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Dealing in Futures Contracts | 2012-06-15 | 2013-06-06 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Advising on Futures Contracts | 2012-06-15 | 2013-06-06 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Advising on Securities | 2003-07-24 | 2012-02-08 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Dealing in Securities | 2003-07-24 | 2012-02-08 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Advising on Futures Contracts | 2004-07-27 | 2012-02-08 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Dealing in Futures Contracts | 2004-07-27 | 2012-02-08 |
| AJC200 | LEE Fan Cheung, Berton | 李曛檣 | RE | Providing Automated Trading Services | 2003-07-24 | 2003-09-22 |
| AJD640 | LAM Yuen Kai, Leon | 林源佳 | RE | Advising on Futures Contracts | 2013-11-06 | |
| AJD640 | LAM Yuen Kai, Leon | 林源佳 | RE | Dealing in Futures Contracts | 2014-02-28 | |
| AJE474 | MARTIN Joseph John | RE | Advising on Securities | 2003-09-30 | 2006-04-08 | |
| AJE474 | MARTIN Joseph John | RE | Dealing in Securities | 2003-09-30 | 2006-04-08 | |
| AJF371 | AU Tin Wai | 區天偉 | RE | Dealing in Securities | 2006-08-09 | 2009-07-23 |
| AJF371 | AU Tin Wai | 區天偉 | RE | Advising on Securities | 2006-08-28 | 2009-07-23 |
| AJF371 | AU Tin Wai | 區天偉 | RE | Advising on Futures Contracts | 2006-08-28 | 2009-07-23 |
| AJF371 | AU Tin Wai | 區天偉 | RE | Dealing in Futures Contracts | 2006-08-28 | 2009-07-23 |
| AJH311 | ONG Tsui Keng | RE | Dealing in Securities | 2003-12-10 | 2010-04-29 | |
| AJH311 | ONG Tsui Keng | RE | Advising on Securities | 2003-12-10 | 2010-04-29 | |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RO | Advising on Futures Contracts | 2014-04-03 | |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RO | Advising on Securities | 2014-04-03 | |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RE | Advising on Securities | 2011-09-26 | 2014-04-03 |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RE | Advising on Futures Contracts | 2011-09-26 | 2014-04-03 |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RE | Advising on Securities | 2008-05-22 | 2011-04-06 |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RE | Dealing in Futures Contracts | 2008-05-22 | 2011-04-06 |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RE | Dealing in Securities | 2008-05-22 | 2011-04-06 |
| AJH983 | LEE Tony Sai Kuen | 李世權 | RE | Advising on Futures Contracts | 2008-05-22 | 2011-04-06 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RO | Dealing in Futures Contracts | 2014-02-07 | 2016-06-30 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RO | Dealing in Securities | 2014-02-07 | 2016-06-30 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RO | Advising on Futures Contracts | 2014-02-07 | 2016-06-30 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Advising on Futures Contracts | 2012-07-25 | 2014-02-07 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Dealing in Futures Contracts | 2012-07-25 | 2014-02-07 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Dealing in Securities | 2014-01-13 | 2014-02-07 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Dealing in Securities | 2008-06-05 | 2010-09-17 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Dealing in Futures Contracts | 2008-06-05 | 2010-09-17 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Advising on Futures Contracts | 2008-06-24 | 2010-09-17 |
| AJJ586 | LEE Hok Lymn Lemuel | 李學林 | RE | Advising on Securities | 2008-06-24 | 2010-09-17 |
| AJJ606 | CHUARD Julien | RE | Dealing in Futures Contracts | 2008-05-29 | 2010-09-17 | |
| AJJ606 | CHUARD Julien | RE | Dealing in Securities | 2008-05-29 | 2010-09-17 | |
| AJJ606 | CHUARD Julien | RE | Advising on Futures Contracts | 2008-06-23 | 2010-09-17 | |
| AJJ606 | CHUARD Julien | RE | Advising on Securities | 2008-06-23 | 2010-09-17 | |
| AJL240 | PRELLER Raoul Gustav | RE | Dealing in Securities | 2008-06-18 | 2008-07-23 | |
| AJL240 | PRELLER Raoul Gustav | RE | Dealing in Futures Contracts | 2008-06-18 | 2008-07-23 | |
| AJL240 | PRELLER Raoul Gustav | RE | Advising on Securities | 2008-07-14 | 2008-07-23 | |
| AJL240 | PRELLER Raoul Gustav | RE | Advising on Futures Contracts | 2008-07-14 | 2008-07-23 | |
| AJL563 | TERREBROOD JR Henry Lee | RE | Dealing in Securities | 2004-02-13 | 2007-02-01 | |
| AJL563 | TERREBROOD JR Henry Lee | RE | Advising on Securities | 2004-02-13 | 2007-02-01 | |
| AJN777 | LO Kathleen Oikay | 盧藹琪 | RE | Dealing in Securities | 2004-03-10 | 2006-05-03 |
| AJN777 | LO Kathleen Oikay | 盧藹琪 | RE | Dealing in Futures Contracts | 2004-03-10 | 2006-05-03 |
| AJN777 | LO Kathleen Oikay | 盧藹琪 | RE | Advising on Securities | 2004-03-10 | 2006-05-03 |
| AJN777 | LO Kathleen Oikay | 盧藹琪 | RE | Advising on Futures Contracts | 2004-03-10 | 2006-05-03 |
| AJO203 | BURDETT James William | RO | Advising on Futures Contracts | 2012-03-16 | 2013-06-28 | |
| AJO203 | BURDETT James William | RO | Advising on Securities | 2012-03-16 | 2013-06-28 | |
| AJO203 | BURDETT James William | RO | Dealing in Securities | 2012-03-16 | 2013-06-28 | |
| AJO203 | BURDETT James William | RO | Dealing in Futures Contracts | 2012-03-16 | 2013-06-28 | |
| AJO203 | BURDETT James William | RE | Advising on Futures Contracts | 2004-03-18 | 2012-03-16 | |
| AJO203 | BURDETT James William | RE | Advising on Securities | 2004-03-18 | 2012-03-16 | |
| AJO203 | BURDETT James William | RE | Dealing in Futures Contracts | 2004-03-18 | 2012-03-16 | |
| AJO203 | BURDETT James William | RE | Dealing in Securities | 2004-03-18 | 2012-03-16 | |
| AJX924 | EGERTON-WARBURTON Barnaby Ian Robert | RE | Dealing in Securities | 2004-04-01 | 2007-03-01 | |
| AJX924 | EGERTON-WARBURTON Barnaby Ian Robert | RE | Advising on Securities | 2004-04-01 | 2007-03-01 | |
| AKI495 | LEAHY David Joseph | RE | Advising on Futures Contracts | 2013-04-29 | 2018-10-31 | |
| AKI495 | LEAHY David Joseph | RE | Dealing in Futures Contracts | 2013-04-29 | 2018-10-31 | |
| AKI495 | LEAHY David Joseph | RE | Advising on Securities | 2013-04-29 | 2015-11-23 | |
| AKI495 | LEAHY David Joseph | RE | Dealing in Securities | 2013-04-29 | 2015-11-23 | |
| AKL742 | LEE King Wai, Karen | 李荊慧 | RE | Dealing in Futures Contracts | 2008-06-05 | 2010-02-24 |
| AKL742 | LEE King Wai, Karen | 李荊慧 | RE | Dealing in Securities | 2008-06-05 | 2010-02-24 |
| AKL742 | LEE King Wai, Karen | 李荊慧 | RE | Advising on Securities | 2008-06-24 | 2010-02-24 |
| AKL742 | LEE King Wai, Karen | 李荊慧 | RE | Advising on Futures Contracts | 2008-06-24 | 2010-02-24 |
| AKO638 | CHIEN Yow Jie | RE | Advising on Securities | 2004-04-30 | ||
| AKO638 | CHIEN Yow Jie | RE | Dealing in Securities | 2004-04-30 | ||
| AKO638 | CHIEN Yow Jie | RE | Advising on Futures Contracts | 2004-07-27 | ||
| AKO638 | CHIEN Yow Jie | RE | Dealing in Futures Contracts | 2004-07-27 | ||
| AKO803 | WONG Mellissa | 王蓉慈 | RE | Dealing in Futures Contracts | 2014-10-08 | 2017-03-30 |
| AKO803 | WONG Mellissa | 王蓉慈 | RE | Advising on Futures Contracts | 2014-10-08 | 2017-03-30 |
| AKO803 | WONG Mellissa | 王蓉慈 | RE | Dealing in Securities | 2014-10-08 | 2016-10-13 |
| AKO803 | WONG Mellissa | 王蓉慈 | RE | Advising on Securities | 2014-10-08 | 2016-10-13 |
| AKO878 | WONG Man Huen, Mandy | 黃文絢 | RE | Advising on Securities | 2009-09-23 | 2012-09-01 |
| AKO878 | WONG Man Huen, Mandy | 黃文絢 | RE | Dealing in Securities | 2009-09-23 | 2012-09-01 |
| AKO878 | WONG Man Huen, Mandy | 黃文絢 | RE | Dealing in Futures Contracts | 2009-09-23 | 2010-10-01 |
| AKO878 | WONG Man Huen, Mandy | 黃文絢 | RE | Advising on Futures Contracts | 2009-09-23 | 2010-10-01 |
| AKQ902 | SHAH Anand | RE | Dealing in Securities | 2004-05-25 | 2004-06-28 | |
| AKQ902 | SHAH Anand | RE | Advising on Securities | 2004-05-25 | 2004-06-28 | |
| AKS922 | SHEREN Peter Jay | RE | Dealing in Securities | 2007-05-17 | 2008-07-28 | |
| AKS922 | SHEREN Peter Jay | RE | Advising on Securities | 2007-05-17 | 2008-07-28 | |
| AKS922 | SHEREN Peter Jay | RE | Dealing in Futures Contracts | 2007-10-15 | 2008-07-28 | |
| AKS922 | SHEREN Peter Jay | RE | Advising on Futures Contracts | 2007-10-15 | 2008-07-28 | |
| AKS994 | THIELEN Markus Christian | RE | Advising on Securities | 2012-12-12 | 2014-02-20 | |
| AKS994 | THIELEN Markus Christian | RE | Dealing in Futures Contracts | 2012-12-12 | 2014-02-20 | |
| AKS994 | THIELEN Markus Christian | RE | Dealing in Securities | 2012-12-12 | 2014-02-20 | |
| AKS994 | THIELEN Markus Christian | RE | Advising on Futures Contracts | 2012-12-12 | 2014-02-20 | |
| AKU233 | SUTTON Ben | RE | Dealing in Futures Contracts | 2005-07-27 | 2007-10-01 | |
| AKU233 | SUTTON Ben | RE | Dealing in Securities | 2005-07-27 | 2007-10-01 | |
| AKU233 | SUTTON Ben | RE | Advising on Securities | 2005-08-22 | 2007-10-01 | |
| AKU233 | SUTTON Ben | RE | Advising on Futures Contracts | 2005-08-22 | 2007-10-01 | |
| AKV267 | HUI Gary San | RE | Dealing in Securities | 2004-06-26 | 2007-04-16 | |
| AKV267 | HUI Gary San | RE | Advising on Securities | 2004-06-26 | 2007-04-16 | |
| AKW426 | CHEN Shang Hsin | 陳尚新 | RE | Advising on Securities | 2004-06-28 | 2011-04-06 |
| AKW426 | CHEN Shang Hsin | 陳尚新 | RE | Dealing in Securities | 2004-06-28 | 2011-04-06 |
| AKW658 | FERRALL David John | RE | Dealing in Securities | 2004-06-28 | 2005-03-17 | |
| AKW658 | FERRALL David John | RE | Advising on Securities | 2004-06-28 | 2005-03-17 | |
| AKX538 | GOURMELEN Arnaud | RE | Dealing in Futures Contracts | 2004-07-12 | 2008-05-21 | |
| AKX538 | GOURMELEN Arnaud | RE | Dealing in Securities | 2004-07-12 | 2008-05-21 | |
| AKX538 | GOURMELEN Arnaud | RE | Advising on Securities | 2004-07-12 | 2008-05-21 | |
| AKX538 | GOURMELEN Arnaud | RE | Advising on Futures Contracts | 2004-07-12 | 2008-05-21 | |
| AKY943 | CHAN Koon Shing, Dominic | 陳冠成 | RE | Advising on Securities | 2004-11-01 | 2007-02-23 |
| AKY943 | CHAN Koon Shing, Dominic | 陳冠成 | RE | Dealing in Securities | 2004-11-03 | 2007-02-23 |
| ALB239 | MYERS Kevin Mitchell | RO | Advising on Securities | 2013-05-30 | 2013-08-16 | |
| ALB239 | MYERS Kevin Mitchell | RO | Advising on Futures Contracts | 2013-05-30 | 2013-08-16 | |
| ALB239 | MYERS Kevin Mitchell | RO | Dealing in Securities | 2013-05-30 | 2013-08-16 | |
| ALB239 | MYERS Kevin Mitchell | RO | Dealing in Futures Contracts | 2013-05-30 | 2013-08-16 | |
| ALB239 | MYERS Kevin Mitchell | RE | Dealing in Securities | 2012-03-05 | 2013-05-30 | |
| ALB239 | MYERS Kevin Mitchell | RE | Advising on Securities | 2012-03-05 | 2013-05-30 | |
| ALB239 | MYERS Kevin Mitchell | RE | Advising on Futures Contracts | 2012-05-14 | 2013-05-30 | |
| ALB239 | MYERS Kevin Mitchell | RE | Dealing in Futures Contracts | 2012-05-14 | 2013-05-30 | |
| ALB904 | GORDON Andrea Wai Ming | 陳慧明 | RE | Dealing in Futures Contracts | 2007-10-05 | 2010-04-19 |
| ALB904 | GORDON Andrea Wai Ming | 陳慧明 | RE | Dealing in Securities | 2007-10-05 | 2010-04-19 |
| ALB904 | GORDON Andrea Wai Ming | 陳慧明 | RE | Advising on Futures Contracts | 2007-10-25 | 2010-04-19 |
| ALB904 | GORDON Andrea Wai Ming | 陳慧明 | RE | Advising on Securities | 2007-10-25 | 2010-04-19 |
| ALC103 | LAU Yee Man, Mandy | 劉漪汶 | RE | Dealing in Securities | 2004-08-17 | 2010-04-28 |
| ALC103 | LAU Yee Man, Mandy | 劉漪汶 | RE | Advising on Securities | 2004-08-17 | 2010-04-28 |
| ALC103 | LAU Yee Man, Mandy | 劉漪汶 | RE | Advising on Futures Contracts | 2006-01-04 | 2010-04-28 |
| ALC103 | LAU Yee Man, Mandy | 劉漪汶 | RE | Dealing in Futures Contracts | 2006-01-04 | 2010-04-28 |
| ALC175 | DUJARI Vipul | RE | Dealing in Futures Contracts | 2010-03-18 | ||
| ALC175 | DUJARI Vipul | RE | Advising on Futures Contracts | 2010-03-18 | ||
| ALC175 | DUJARI Vipul | RE | Advising on Securities | 2010-03-18 | 2016-09-27 | |
| ALC175 | DUJARI Vipul | RE | Dealing in Securities | 2010-03-18 | 2016-09-27 | |
| ALF227 | WATTS Nigel Owen | RE | Advising on Securities | 2004-09-02 | 2006-12-23 | |
| ALF227 | WATTS Nigel Owen | RE | Dealing in Securities | 2004-09-02 | 2006-12-23 | |
| ALF541 | HO King Man, Justin | 何敬民 | RE | Advising on Securities | 2004-09-08 | 2006-06-01 |
| ALF541 | HO King Man, Justin | 何敬民 | RE | Dealing in Securities | 2004-09-08 | 2006-06-01 |
| ALF591 | RECHTMAN Romain Jack | RE | Advising on Securities | 2004-09-13 | 2008-02-26 | |
| ALF591 | RECHTMAN Romain Jack | RE | Dealing in Securities | 2004-09-13 | 2008-02-26 | |
| ALF594 | HOU Qing | 侯慶 | RE | Advising on Futures Contracts | 2004-09-13 | 2006-03-02 |
| ALF594 | HOU Qing | 侯慶 | RE | Advising on Securities | 2004-09-13 | 2006-03-02 |
| ALF611 | ZHAO Chunhua | 趙春花 | RE | Advising on Futures Contracts | 2010-06-04 | 2015-10-29 |
| ALF611 | ZHAO Chunhua | 趙春花 | RE | Advising on Securities | 2010-06-04 | 2015-10-29 |
| ALF611 | ZHAO Chunhua | 趙春花 | RE | Dealing in Futures Contracts | 2010-06-04 | 2015-10-29 |
| ALF611 | ZHAO Chunhua | 趙春花 | RE | Dealing in Securities | 2010-06-04 | 2015-10-29 |
| ALG542 | CHAN Kwok Wai | 陳國偉 | RE | Advising on Futures Contracts | 2004-09-27 | 2008-02-16 |
| ALG542 | CHAN Kwok Wai | 陳國偉 | RE | Dealing in Securities | 2004-09-27 | 2008-02-16 |
| ALG542 | CHAN Kwok Wai | 陳國偉 | RE | Dealing in Futures Contracts | 2004-09-27 | 2008-02-16 |
| ALG542 | CHAN Kwok Wai | 陳國偉 | RE | Advising on Securities | 2004-09-27 | 2008-02-16 |
| ALI017 | SINGH Chiranjeet | RE | Dealing in Securities | 2004-10-06 | 2008-02-13 | |
| ALI017 | SINGH Chiranjeet | RE | Advising on Securities | 2004-10-06 | 2008-02-13 | |
| ALI017 | SINGH Chiranjeet | RE | Dealing in Futures Contracts | 2006-01-04 | 2008-02-13 | |
| ALI017 | SINGH Chiranjeet | RE | Advising on Futures Contracts | 2006-01-04 | 2008-02-13 | |
| ALO209 | LEUNG Ming Wai | 梁明慧 | RE | Dealing in Securities | 2006-08-21 | 2007-10-06 |
| ALO209 | LEUNG Ming Wai | 梁明慧 | RE | Advising on Securities | 2006-09-21 | 2007-10-06 |
| ALO245 | MIAO Hui | 繆暉 | RE | Dealing in Securities | 2004-12-22 | 2006-07-04 |
| ALO245 | MIAO Hui | 繆暉 | RE | Advising on Securities | 2004-12-22 | 2006-07-04 |
| ALO557 | SONG Jung Yun | RE | Dealing in Securities | 2004-12-30 | 2005-09-13 | |
| ALO557 | SONG Jung Yun | RE | Advising on Securities | 2004-12-30 | 2005-09-13 | |
| ALQ597 | CHUA Buan Pong | 蔡滿榜 | RE | Advising on Securities | 2005-01-19 | 2008-02-06 |
| ALQ597 | CHUA Buan Pong | 蔡滿榜 | RE | Dealing in Securities | 2005-01-19 | 2008-02-06 |
| ALQ626 | GU Andrew Ye Yan | 顧燁彥 | RE | Dealing in Securities | 2008-06-18 | 2010-03-25 |
| ALQ626 | GU Andrew Ye Yan | 顧燁彥 | RE | Dealing in Futures Contracts | 2008-06-18 | 2010-03-25 |
| ALQ626 | GU Andrew Ye Yan | 顧燁彥 | RE | Advising on Securities | 2008-07-14 | 2010-03-25 |
| ALQ626 | GU Andrew Ye Yan | 顧燁彥 | RE | Advising on Futures Contracts | 2008-07-14 | 2010-03-25 |
| ALQ696 | RAWAT Abhishek | RE | Advising on Securities | 2005-06-17 | 2007-06-09 | |
| ALQ696 | RAWAT Abhishek | RE | Dealing in Securities | 2005-06-17 | 2007-06-09 | |
| ALR009 | FELLAS Lewis John | RE | Dealing in Securities | 2005-01-28 | 2005-04-25 | |
| ALR009 | FELLAS Lewis John | RE | Advising on Securities | 2005-01-28 | 2005-04-25 | |
| ALS358 | SUN Pui Yin, James | 辛沛賢 | RE | Dealing in Securities | 2011-06-29 | 2012-08-28 |
| ALS358 | SUN Pui Yin, James | 辛沛賢 | RE | Dealing in Futures Contracts | 2011-06-29 | 2012-08-28 |
| ALS358 | SUN Pui Yin, James | 辛沛賢 | RE | Advising on Securities | 2011-06-29 | 2012-08-28 |
| ALS358 | SUN Pui Yin, James | 辛沛賢 | RE | Advising on Futures Contracts | 2011-06-29 | 2012-08-28 |
| ALS667 | CHIU Pit Lap, Philip | 趙必立 | RE | Dealing in Futures Contracts | 2008-06-05 | 2008-10-27 |
| ALS667 | CHIU Pit Lap, Philip | 趙必立 | RE | Dealing in Securities | 2008-06-05 | 2008-10-27 |
| ALS667 | CHIU Pit Lap, Philip | 趙必立 | RE | Advising on Securities | 2008-06-24 | 2008-10-27 |
| ALS667 | CHIU Pit Lap, Philip | 趙必立 | RE | Advising on Futures Contracts | 2008-06-24 | 2008-10-27 |
| ALT899 | PAOLUCCI Nicholas Giovanni | 跑萬年 | RE | Dealing in Futures Contracts | 2014-03-24 | |
| ALT899 | PAOLUCCI Nicholas Giovanni | 跑萬年 | RE | Advising on Futures Contracts | 2014-03-24 | |
| ALT899 | PAOLUCCI Nicholas Giovanni | 跑萬年 | RE | Dealing in Securities | 2006-07-17 | 2014-03-16 |
| ALT899 | PAOLUCCI Nicholas Giovanni | 跑萬年 | RE | Advising on Securities | 2006-07-17 | 2014-03-16 |
| ALT899 | PAOLUCCI Nicholas Giovanni | 跑萬年 | RE | Advising on Futures Contracts | 2012-08-17 | 2014-03-16 |
| ALT899 | PAOLUCCI Nicholas Giovanni | 跑萬年 | RE | Dealing in Futures Contracts | 2012-08-17 | 2014-03-16 |
| ALT907 | MANSFIELD David Thomas | RO | Dealing in Futures Contracts | 2017-10-09 | 2018-06-08 | |
| ALT907 | MANSFIELD David Thomas | RO | Advising on Futures Contracts | 2017-10-09 | 2018-06-08 | |
| ALT907 | MANSFIELD David Thomas | RE | Advising on Futures Contracts | 2012-01-16 | 2017-10-09 | |
| ALT907 | MANSFIELD David Thomas | RE | Dealing in Futures Contracts | 2012-01-16 | 2017-10-09 | |
| ALT907 | MANSFIELD David Thomas | RE | Advising on Securities | 2012-01-16 | 2016-10-17 | |
| ALT907 | MANSFIELD David Thomas | RE | Dealing in Securities | 2012-01-16 | 2016-10-17 | |
| ALU280 | TSAI Lin Ju | 蔡玲如 | RE | Advising on Securities | 2005-03-10 | 2006-02-18 |
| ALU280 | TSAI Lin Ju | 蔡玲如 | RE | Dealing in Securities | 2005-03-10 | 2006-02-18 |
| ALU446 | STURMAN Jonathan Marc | RE | Dealing in Futures Contracts | 2007-10-15 | 2017-06-29 | |
| ALU446 | STURMAN Jonathan Marc | RE | Advising on Futures Contracts | 2007-10-15 | 2017-06-29 | |
| ALU446 | STURMAN Jonathan Marc | RE | Dealing in Securities | 2006-08-30 | 2016-10-06 | |
| ALU446 | STURMAN Jonathan Marc | RE | Advising on Securities | 2007-03-01 | 2016-10-06 | |
| ALU721 | DOURIS Leonidas | RE | Advising on Futures Contracts | 2005-03-14 | 2011-11-15 | |
| ALU721 | DOURIS Leonidas | RE | Advising on Securities | 2005-03-14 | 2011-11-15 | |
| ALU721 | DOURIS Leonidas | RE | Dealing in Securities | 2005-03-14 | 2011-11-15 | |
| ALU721 | DOURIS Leonidas | RE | Dealing in Futures Contracts | 2005-03-14 | 2011-11-15 | |
| ALV315 | WONG Claudio | 王久昌 | RE | Dealing in Futures Contracts | 2008-06-05 | |
| ALV315 | WONG Claudio | 王久昌 | RE | Advising on Futures Contracts | 2008-06-24 | |
| ALV315 | WONG Claudio | 王久昌 | RE | Dealing in Securities | 2008-06-05 | 2016-10-06 |
| ALV315 | WONG Claudio | 王久昌 | RE | Advising on Securities | 2008-06-24 | 2016-10-06 |
| ALW219 | LAU Tsz Wing | 劉子頴 | RE | Advising on Futures Contracts | 2005-04-04 | 2015-04-30 |
| ALW219 | LAU Tsz Wing | 劉子頴 | RE | Dealing in Securities | 2005-04-04 | 2015-04-30 |
| ALW219 | LAU Tsz Wing | 劉子頴 | RE | Dealing in Futures Contracts | 2005-04-04 | 2015-04-30 |
| ALW219 | LAU Tsz Wing | 劉子頴 | RE | Advising on Securities | 2005-04-04 | 2015-04-30 |
| ALW300 | CHEN Cheng Lien | 陳政璉 | RE | Dealing in Securities | 2005-04-08 | 2005-08-25 |
| ALW300 | CHEN Cheng Lien | 陳政璉 | RE | Advising on Securities | 2005-04-08 | 2005-08-25 |
| ALY351 | CHANG Jui-wen | 張瑞紋 | RE | Dealing in Futures Contracts | 2008-06-05 | 2008-12-15 |
| ALY351 | CHANG Jui-wen | 張瑞紋 | RE | Dealing in Securities | 2008-06-05 | 2008-12-15 |
| ALY351 | CHANG Jui-wen | 張瑞紋 | RE | Advising on Securities | 2008-06-24 | 2008-12-15 |
| ALY351 | CHANG Jui-wen | 張瑞紋 | RE | Advising on Futures Contracts | 2008-06-24 | 2008-12-15 |
| ALZ096 | ULCICKAS Simon David | RE | Advising on Securities | 2005-05-10 | 2009-02-17 | |
| ALZ096 | ULCICKAS Simon David | RE | Dealing in Securities | 2005-05-10 | 2009-02-17 | |
| ALZ307 | FUNG Kin Chueng | 馮健昌 | RE | Dealing in Securities | 2007-07-24 | 2008-06-06 |
| ALZ307 | FUNG Kin Chueng | 馮健昌 | RE | Advising on Securities | 2007-07-24 | 2008-06-06 |
| ALZ307 | FUNG Kin Chueng | 馮健昌 | RE | Dealing in Futures Contracts | 2007-07-24 | 2008-06-06 |
| ALZ307 | FUNG Kin Chueng | 馮健昌 | RE | Advising on Futures Contracts | 2007-07-24 | 2008-06-06 |
| ALZ307 | FUNG Kin Chueng | 馮健昌 | RE | Dealing in Securities | 2005-05-10 | 2007-05-01 |
| ALZ307 | FUNG Kin Chueng | 馮健昌 | RE | Advising on Securities | 2005-05-10 | 2007-05-01 |
| ALZ310 | JANJUSEVIC Miodrag | RE | Dealing in Securities | 2005-05-10 | 2007-11-09 | |
| ALZ310 | JANJUSEVIC Miodrag | RE | Advising on Securities | 2005-05-10 | 2007-11-09 | |
| ALZ631 | WU Stephanie Yo-hua | 吳宥樺 | RE | Dealing in Securities | 2005-05-13 | 2007-02-21 |
| ALZ631 | WU Stephanie Yo-hua | 吳宥樺 | RE | Advising on Securities | 2005-05-13 | 2007-02-21 |
| ALZ699 | NG Chor Hong | RE | Advising on Futures Contracts | 2005-05-17 | 2014-10-31 | |
| ALZ699 | NG Chor Hong | RE | Dealing in Securities | 2005-05-17 | 2014-10-31 | |
| ALZ699 | NG Chor Hong | RE | Advising on Securities | 2005-05-17 | 2014-10-31 | |
| ALZ699 | NG Chor Hong | RE | Dealing in Futures Contracts | 2005-05-17 | 2014-10-31 | |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RO | Dealing in Futures Contracts | 2015-11-25 | |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RO | Advising on Futures Contracts | 2015-11-25 | |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RO | Advising on Securities | 2015-11-25 | 2016-11-09 |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RO | Dealing in Securities | 2015-11-25 | 2016-11-09 |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RE | Dealing in Securities | 2005-05-26 | 2015-11-25 |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RE | Advising on Futures Contracts | 2005-05-26 | 2015-11-25 |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RE | Advising on Securities | 2005-05-26 | 2015-11-25 |
| AMA888 | PAU Matthew Haw Ming | 鮑浩銘 | RE | Dealing in Futures Contracts | 2005-05-26 | 2015-11-25 |
| AME096 | KIM Sun Mi | RE | Advising on Futures Contracts | 2007-12-17 | 2009-04-23 | |
| AME096 | KIM Sun Mi | RE | Advising on Securities | 2007-12-17 | 2009-04-23 | |
| AME096 | KIM Sun Mi | RE | Dealing in Futures Contracts | 2007-12-17 | 2009-04-23 | |
| AME096 | KIM Sun Mi | RE | Dealing in Securities | 2007-12-17 | 2009-04-23 | |
| AME580 | LO Wing Ki, Vickie | 羅穎琦 | RE | Dealing in Futures Contracts | 2015-05-26 | |
| AME580 | LO Wing Ki, Vickie | 羅穎琦 | RE | Advising on Futures Contracts | 2015-05-26 | |
| AME906 | LO Kin Chung, Kendall | 羅建忠 | RE | Dealing in Securities | 2005-07-05 | 2007-01-31 |
| AME906 | LO Kin Chung, Kendall | 羅建忠 | RE | Advising on Securities | 2005-07-05 | 2007-01-31 |
| AMF085 | SUN Wei | 孫偉 | RE | Dealing in Securities | 2006-06-21 | 2008-01-17 |
| AMF085 | SUN Wei | 孫偉 | RE | Advising on Securities | 2006-06-21 | 2008-01-17 |
| AMF219 | LIN Jackie | RE | Dealing in Securities | 2007-11-27 | 2008-12-15 | |
| AMF219 | LIN Jackie | RE | Advising on Securities | 2007-11-27 | 2008-12-15 | |
| AMF381 | IP Vincent Wai Chung | 葉維中 | RE | Advising on Futures Contracts | 2012-06-01 | |
| AMF381 | IP Vincent Wai Chung | 葉維中 | RE | Dealing in Futures Contracts | 2012-06-01 | |
| AMF381 | IP Vincent Wai Chung | 葉維中 | RE | Dealing in Securities | 2014-01-13 | 2016-10-11 |
| AMF381 | IP Vincent Wai Chung | 葉維中 | RE | Advising on Securities | 2005-07-18 | 2010-09-17 |
| AMF381 | IP Vincent Wai Chung | 葉維中 | RE | Dealing in Securities | 2005-07-18 | 2010-09-17 |
| AMH399 | TURNER Alexander James Christian | RE | Advising on Securities | 2005-07-30 | 2012-10-22 | |
| AMH399 | TURNER Alexander James Christian | RE | Dealing in Securities | 2005-07-30 | 2012-10-22 | |
| AMH399 | TURNER Alexander James Christian | RE | Advising on Futures Contracts | 2007-10-15 | 2012-10-22 | |
| AMH399 | TURNER Alexander James Christian | RE | Dealing in Futures Contracts | 2007-10-15 | 2012-10-22 | |
| AMH414 | KANG Calvin Kyunghoon | RE | Advising on Securities | 2005-07-30 | 2007-06-13 | |
| AMH414 | KANG Calvin Kyunghoon | RE | Dealing in Securities | 2005-07-30 | 2007-06-13 | |
| AMI200 | LAU Fu Man | 劉富民 | RE | Dealing in Futures Contracts | 2012-06-01 | 2015-09-25 |
| AMI200 | LAU Fu Man | 劉富民 | RE | Advising on Futures Contracts | 2012-06-01 | 2015-09-25 |
| AMI200 | LAU Fu Man | 劉富民 | RE | Dealing in Securities | 2014-01-17 | 2015-09-25 |
| AMI200 | LAU Fu Man | 劉富民 | RE | Dealing in Futures Contracts | 2008-06-05 | 2010-09-17 |
| AMI200 | LAU Fu Man | 劉富民 | RE | Dealing in Securities | 2008-06-05 | 2010-09-17 |
| AMI200 | LAU Fu Man | 劉富民 | RE | Advising on Securities | 2008-06-24 | 2010-09-17 |
| AMI200 | LAU Fu Man | 劉富民 | RE | Advising on Futures Contracts | 2008-06-24 | 2010-09-17 |
| AMI503 | LAW Chui Shan, Clara | 羅翠珊 | RE | Advising on Securities | 2011-09-26 | 2012-02-23 |
| AMI503 | LAW Chui Shan, Clara | 羅翠珊 | RE | Advising on Futures Contracts | 2011-09-26 | 2012-02-23 |
| AMI503 | LAW Chui Shan, Clara | 羅翠珊 | RE | Advising on Futures Contracts | 2008-05-22 | 2011-04-06 |
| AMI503 | LAW Chui Shan, Clara | 羅翠珊 | RE | Dealing in Securities | 2008-05-22 | 2011-04-06 |
| AMI503 | LAW Chui Shan, Clara | 羅翠珊 | RE | Advising on Securities | 2008-05-22 | 2011-04-06 |
| AMI503 | LAW Chui Shan, Clara | 羅翠珊 | RE | Dealing in Futures Contracts | 2008-05-22 | 2011-04-06 |
| AMI880 | KHANNA Deepankar Satyapal | 韓德凱 | RE | Advising on Futures Contracts | 2016-05-12 | |
| AMI880 | KHANNA Deepankar Satyapal | 韓德凱 | RE | Dealing in Futures Contracts | 2016-05-12 | |
| AMI890 | MICHAEL Benjamin Ross Wallington | RO | Advising on Securities | 2018-08-15 | ||
| AMI890 | MICHAEL Benjamin Ross Wallington | RO | Advising on Futures Contracts | 2018-08-15 | ||
| AMI890 | MICHAEL Benjamin Ross Wallington | RO | Dealing in Futures Contracts | 2018-08-15 | ||
| AMI890 | MICHAEL Benjamin Ross Wallington | RO | Dealing in Securities | 2018-08-15 | ||
| AMI890 | MICHAEL Benjamin Ross Wallington | RE | Advising on Futures Contracts | 2011-11-15 | 2018-08-15 | |
| AMI890 | MICHAEL Benjamin Ross Wallington | RE | Dealing in Futures Contracts | 2011-11-15 | 2018-08-15 | |
| AMI890 | MICHAEL Benjamin Ross Wallington | RE | Advising on Securities | 2018-03-02 | 2018-08-15 | |
| AMI890 | MICHAEL Benjamin Ross Wallington | RE | Dealing in Securities | 2018-03-02 | 2018-08-15 | |
| AMI890 | MICHAEL Benjamin Ross Wallington | RE | Advising on Securities | 2012-06-19 | 2015-11-23 | |
| AMI890 | MICHAEL Benjamin Ross Wallington | RE | Dealing in Securities | 2012-06-19 | 2015-11-23 | |
| AMJ780 | CASTILLO Eric Alberto | RE | Dealing in Securities | 2008-06-05 | 2010-02-24 | |
| AMJ780 | CASTILLO Eric Alberto | RE | Dealing in Futures Contracts | 2008-06-05 | 2010-02-24 | |
| AMJ780 | CASTILLO Eric Alberto | RE | Advising on Futures Contracts | 2008-06-24 | 2010-02-24 | |
| AMJ780 | CASTILLO Eric Alberto | RE | Advising on Securities | 2008-06-24 | 2010-02-24 | |
| AMK407 | CANTRELL Catharine Rowena Dulcie | RE | Advising on Securities | 2005-08-31 | 2006-04-01 | |
| AMK407 | CANTRELL Catharine Rowena Dulcie | RE | Dealing in Securities | 2005-08-31 | 2006-04-01 | |
| AMM130 | YIP Ying Kei | 葉穎琪 | RE | Advising on Securities | 2005-09-22 | 2007-07-09 |
| AMM130 | YIP Ying Kei | 葉穎琪 | RE | Dealing in Securities | 2005-09-22 | 2007-07-09 |
| AMM131 | PARK Joohong | RE | Advising on Futures Contracts | 2005-09-22 | 2007-03-27 | |
| AMM131 | PARK Joohong | RE | Advising on Securities | 2005-09-22 | 2007-03-27 | |
| AMM131 | PARK Joohong | RE | Dealing in Securities | 2005-09-22 | 2007-03-27 | |
| AMM131 | PARK Joohong | RE | Dealing in Futures Contracts | 2005-09-22 | 2007-03-27 | |
| AMN594 | REYNIER Jean-Marc, Emmanuel | RE | Dealing in Futures Contracts | 2008-03-04 | 2010-08-04 | |
| AMN594 | REYNIER Jean-Marc, Emmanuel | RE | Dealing in Securities | 2008-03-04 | 2010-08-04 | |
| AMN594 | REYNIER Jean-Marc, Emmanuel | RE | Advising on Futures Contracts | 2008-03-04 | 2010-08-04 | |
| AMN594 | REYNIER Jean-Marc, Emmanuel | RE | Advising on Securities | 2008-03-04 | 2010-08-04 | |
| AMN896 | KIM Do Yup | RE | Dealing in Securities | 2007-09-24 | 2008-11-05 | |
| AMN896 | KIM Do Yup | RE | Advising on Securities | 2007-10-12 | 2008-11-05 | |
| AMO539 | JIANG Laurie Lan | RE | Dealing in Securities | 2008-04-23 | 2011-05-06 | |
| AMO539 | JIANG Laurie Lan | RE | Advising on Securities | 2008-05-16 | 2011-05-06 | |
| AMO608 | KAN Kit Ming, Mandy | 簡潔明 | RE | Dealing in Futures Contracts | 2007-03-02 | 2011-10-11 |
| AMO608 | KAN Kit Ming, Mandy | 簡潔明 | RE | Dealing in Securities | 2007-03-02 | 2011-10-11 |
| AMO608 | KAN Kit Ming, Mandy | 簡潔明 | RE | Advising on Securities | 2007-03-20 | 2011-10-11 |
| AMO608 | KAN Kit Ming, Mandy | 簡潔明 | RE | Advising on Futures Contracts | 2007-03-20 | 2011-10-11 |
| AMO987 | RUMMUN Roshan | RE | Dealing in Securities | 2005-10-17 | 2007-06-16 | |
| AMO987 | RUMMUN Roshan | RE | Advising on Securities | 2005-10-17 | 2007-06-16 | |
| AMP291 | LAU On Ching, Desmond | 劉安正 | RE | Dealing in Futures Contracts | 2007-02-07 | |
| AMP291 | LAU On Ching, Desmond | 劉安正 | RE | Advising on Securities | 2007-02-07 | |
| AMP291 | LAU On Ching, Desmond | 劉安正 | RE | Advising on Futures Contracts | 2007-02-07 | |
| AMP291 | LAU On Ching, Desmond | 劉安正 | RE | Dealing in Securities | 2007-02-07 | |
| AMR665 | OW Shin Yeuan | 歐欣遠 | RE | Dealing in Futures Contracts | 2017-03-27 | |
| AMR665 | OW Shin Yeuan | 歐欣遠 | RE | Advising on Futures Contracts | 2017-03-27 | |
| AMR691 | LIU Mun-see | 廖敏詩 | RE | Advising on Securities | 2006-11-02 | 2008-12-11 |
| AMR691 | LIU Mun-see | 廖敏詩 | RE | Dealing in Securities | 2006-11-09 | 2008-12-11 |
| AMU051 | WONG Ping-chung | 黃秉忠 | RE | Dealing in Securities | 2005-11-30 | 2006-09-02 |
| AMU051 | WONG Ping-chung | 黃秉忠 | RE | Advising on Securities | 2005-11-30 | 2006-09-02 |
| AMU557 | SEEBOTH Thomas | RE | Advising on Securities | 2005-12-12 | 2006-07-01 | |
| AMU557 | SEEBOTH Thomas | RE | Dealing in Securities | 2005-12-12 | 2006-07-01 | |
| AMW365 | CHAN Kai Man | 陳啟文 | RE | Dealing in Futures Contracts | 2008-06-26 | 2014-08-04 |
| AMW365 | CHAN Kai Man | 陳啟文 | RE | Dealing in Securities | 2008-06-26 | 2014-08-04 |
| AMW365 | CHAN Kai Man | 陳啟文 | RE | Advising on Securities | 2008-07-29 | 2014-08-04 |
| AMW365 | CHAN Kai Man | 陳啟文 | RE | Advising on Futures Contracts | 2008-07-29 | 2014-08-04 |
| AMW365 | CHAN Kai Man | 陳啟文 | RE | Providing Automated Trading Services | 2012-02-09 | 2014-08-04 |
| AMW488 | CASATI Andrea | RO | Dealing in Securities | 2012-11-28 | 2016-07-06 | |
| AMW488 | CASATI Andrea | RO | Dealing in Futures Contracts | 2012-11-28 | 2016-07-06 | |
| AMW488 | CASATI Andrea | RO | Advising on Futures Contracts | 2012-11-28 | 2016-07-06 | |
| AMW488 | CASATI Andrea | RO | Advising on Securities | 2012-11-28 | 2016-07-06 | |
| AMW488 | CASATI Andrea | RO | Providing Automated Trading Services | 2012-11-28 | 2014-03-31 | |
| AMW488 | CASATI Andrea | RE | Advising on Securities | 2011-04-04 | 2012-11-28 | |
| AMW488 | CASATI Andrea | RE | Advising on Futures Contracts | 2011-04-04 | 2012-11-28 | |
| AMW488 | CASATI Andrea | RE | Dealing in Securities | 2011-04-04 | 2012-11-28 | |
| AMW488 | CASATI Andrea | RE | Dealing in Futures Contracts | 2011-04-04 | 2012-11-28 | |
| AMW685 | NAITO Kazuma | 內藤一真 | RO | Dealing in Futures Contracts | 2012-04-13 | |
| AMW685 | NAITO Kazuma | 內藤一真 | RO | Advising on Futures Contracts | 2012-04-13 | |
| AMW685 | NAITO Kazuma | 內藤一真 | RO | Advising on Securities | 2012-04-13 | 2016-06-28 |
| AMW685 | NAITO Kazuma | 內藤一真 | RO | Dealing in Securities | 2012-04-13 | 2016-06-28 |
| AMW685 | NAITO Kazuma | 內藤一真 | RE | Advising on Securities | 2011-05-19 | 2012-04-13 |
| AMW685 | NAITO Kazuma | 內藤一真 | RE | Advising on Futures Contracts | 2011-05-19 | 2012-04-13 |
| AMW685 | NAITO Kazuma | 內藤一真 | RE | Dealing in Futures Contracts | 2011-05-19 | 2012-04-13 |
| AMW685 | NAITO Kazuma | 內藤一真 | RE | Dealing in Securities | 2011-05-19 | 2012-04-13 |
| AMZ320 | LI Ziyu | 李梓禺 | RE | Advising on Securities | 2006-02-06 | 2008-12-15 |
| AMZ320 | LI Ziyu | 李梓禺 | RE | Dealing in Securities | 2006-02-06 | 2008-12-15 |
| ANA182 | CHENG Kan Lik | 鄭勤力 | RE | Advising on Securities | 2006-02-06 | 2011-11-30 |
| ANA182 | CHENG Kan Lik | 鄭勤力 | RE | Dealing in Securities | 2006-02-06 | 2011-11-30 |
| ANA761 | CHEUNG Chi Cheuk, Cedric | 張智卓 | RE | Advising on Securities | 2010-05-10 | |
| ANA761 | CHEUNG Chi Cheuk, Cedric | 張智卓 | RE | Dealing in Securities | 2010-05-10 | |
| ANA761 | CHEUNG Chi Cheuk, Cedric | 張智卓 | RE | Advising on Futures Contracts | 2016-12-22 | |
| ANA761 | CHEUNG Chi Cheuk, Cedric | 張智卓 | RE | Dealing in Futures Contracts | 2016-12-22 | |
| ANE078 | LIM Kyong Woo | 林炅佑 | RE | Dealing in Securities | 2006-03-13 | 2007-03-28 |
| ANE078 | LIM Kyong Woo | 林炅佑 | RE | Advising on Securities | 2006-03-13 | 2007-03-28 |
| ANF134 | WONG Man Jo, Joseph | 黃文藻 | RE | Dealing in Securities | 2006-03-22 | 2006-04-28 |
| ANF134 | WONG Man Jo, Joseph | 黃文藻 | RE | Advising on Securities | 2006-03-22 | 2006-04-28 |
| ANF158 | TOM Edward | 譚子平 | RE | Advising on Futures Contracts | 2017-03-13 | |
| ANF158 | TOM Edward | 譚子平 | RE | Dealing in Futures Contracts | 2017-03-13 | |
| ANG466 | KIM Anna Yen | 嚴立恬 | RE | Dealing in Securities | 2006-04-03 | 2008-03-14 |
| ANG466 | KIM Anna Yen | 嚴立恬 | RE | Dealing in Futures Contracts | 2006-04-03 | 2008-03-14 |
| ANG466 | KIM Anna Yen | 嚴立恬 | RE | Advising on Securities | 2006-04-03 | 2008-03-14 |
| ANG466 | KIM Anna Yen | 嚴立恬 | RE | Advising on Futures Contracts | 2006-04-03 | 2008-03-14 |
| ANG488 | WAGLE Kedar Anil | RE | Advising on Securities | 2006-04-03 | 2008-04-29 | |
| ANG488 | WAGLE Kedar Anil | RE | Dealing in Securities | 2006-04-03 | 2008-04-29 | |
| ANG495 | CHAN Sau Chun | 陳秀珍 | RE | Advising on Futures Contracts | 2006-04-03 | 2012-04-30 |
| ANG495 | CHAN Sau Chun | 陳秀珍 | RE | Advising on Securities | 2006-04-03 | 2012-04-30 |
| ANG495 | CHAN Sau Chun | 陳秀珍 | RE | Dealing in Futures Contracts | 2006-04-03 | 2012-04-30 |
| ANG495 | CHAN Sau Chun | 陳秀珍 | RE | Dealing in Securities | 2006-04-03 | 2012-04-30 |
| ANH564 | LEE Han Shin | 李漢新 | RE | Dealing in Securities | 2006-04-25 | 2009-02-11 |
| ANH564 | LEE Han Shin | 李漢新 | RE | Advising on Securities | 2006-04-25 | 2009-02-11 |
| ANK706 | CHEN Yiqiong | 陳屹琼 | RE | Dealing in Securities | 2006-05-19 | 2009-04-29 |
| ANK706 | CHEN Yiqiong | 陳屹琼 | RE | Advising on Securities | 2006-05-19 | 2009-04-29 |
| ANL090 | KNIGHT Christopher Thorburn | RE | Advising on Securities | 2006-05-26 | 2012-08-29 | |
| ANL090 | KNIGHT Christopher Thorburn | RE | Dealing in Securities | 2006-05-26 | 2012-08-29 | |
| ANL835 | HALLIWELL Thomas Alan | RE | Advising on Futures Contracts | 2016-04-20 | ||
| ANL835 | HALLIWELL Thomas Alan | RE | Dealing in Futures Contracts | 2016-04-20 | ||
| ANL835 | HALLIWELL Thomas Alan | RE | Dealing in Securities | 2016-04-20 | 2016-10-11 | |
| ANL835 | HALLIWELL Thomas Alan | RE | Advising on Securities | 2016-04-20 | 2016-10-11 | |
| ANM361 | TSUN Alexander Wing Gey | 秦榮基 | RE | Dealing in Securities | 2008-06-05 | 2009-04-17 |
| ANM361 | TSUN Alexander Wing Gey | 秦榮基 | RE | Dealing in Futures Contracts | 2008-06-05 | 2009-04-17 |
| ANM361 | TSUN Alexander Wing Gey | 秦榮基 | RE | Advising on Futures Contracts | 2008-06-24 | 2009-04-17 |
| ANM361 | TSUN Alexander Wing Gey | 秦榮基 | RE | Advising on Securities | 2008-06-24 | 2009-04-17 |
| ANM987 | CHEAH Sim Ee | 謝心懿 | RE | Advising on Futures Contracts | 2015-11-18 | |
| ANM987 | CHEAH Sim Ee | 謝心懿 | RE | Dealing in Futures Contracts | 2015-11-18 | |
| ANM987 | CHEAH Sim Ee | 謝心懿 | RE | Advising on Securities | 2015-11-18 | 2016-10-31 |
| ANM987 | CHEAH Sim Ee | 謝心懿 | RE | Dealing in Securities | 2015-11-18 | 2016-10-31 |
| ANR851 | WILLIAMS Katherine Juri | RE | Advising on Securities | 2006-08-24 | 2008-06-06 | |
| ANR851 | WILLIAMS Katherine Juri | RE | Dealing in Futures Contracts | 2006-08-24 | 2008-06-06 | |
| ANR851 | WILLIAMS Katherine Juri | RE | Advising on Futures Contracts | 2006-08-24 | 2008-06-06 | |
| ANR851 | WILLIAMS Katherine Juri | RE | Dealing in Securities | 2006-08-24 | 2008-06-06 | |
| ANR854 | YEOW Allen Yi-Pin | RE | Advising on Securities | 2006-07-28 | 2007-05-24 | |
| ANR854 | YEOW Allen Yi-Pin | RE | Dealing in Futures Contracts | 2006-07-28 | 2007-05-24 | |
| ANR854 | YEOW Allen Yi-Pin | RE | Dealing in Securities | 2006-07-28 | 2007-05-24 | |
| ANR854 | YEOW Allen Yi-Pin | RE | Advising on Futures Contracts | 2006-07-28 | 2007-05-24 | |
| ANR860 | PIASECKI Artur Piotr | RE | Advising on Securities | 2006-08-07 | 2007-02-24 | |
| ANR860 | PIASECKI Artur Piotr | RE | Dealing in Securities | 2006-08-07 | 2007-02-24 | |
| ANR865 | MC GINLEY Robert Vincent | RE | Dealing in Securities | 2006-07-28 | 2006-11-16 | |
| ANR865 | MC GINLEY Robert Vincent | RE | Advising on Securities | 2006-07-28 | 2006-11-16 | |
| ANR872 | FREYRE-SANDERS Andrew David Nuno D.S. | RE | Dealing in Securities | 2006-07-28 | 2008-06-16 | |
| ANR872 | FREYRE-SANDERS Andrew David Nuno D.S. | RE | Dealing in Futures Contracts | 2006-07-28 | 2008-06-16 | |
| ANR872 | FREYRE-SANDERS Andrew David Nuno D.S. | RE | Advising on Securities | 2006-07-28 | 2008-06-16 | |
| ANR872 | FREYRE-SANDERS Andrew David Nuno D.S. | RE | Advising on Futures Contracts | 2006-07-28 | 2008-06-16 | |
| ANR877 | LEE Ji Hoon | RE | Dealing in Securities | 2006-08-18 | 2008-07-03 | |
| ANR877 | LEE Ji Hoon | RE | Advising on Futures Contracts | 2006-08-18 | 2008-07-03 | |
| ANR877 | LEE Ji Hoon | RE | Advising on Securities | 2006-08-18 | 2008-07-03 | |
| ANR877 | LEE Ji Hoon | RE | Dealing in Futures Contracts | 2006-08-18 | 2008-07-03 | |
| ANR886 | CRUIKSHANKS Stuart Cameron | RE | Advising on Securities | 2006-07-28 | 2011-08-06 | |
| ANR886 | CRUIKSHANKS Stuart Cameron | RE | Dealing in Securities | 2006-07-28 | 2011-08-06 | |
| ANR886 | CRUIKSHANKS Stuart Cameron | RE | Advising on Futures Contracts | 2008-11-18 | 2011-08-06 | |
| ANR886 | CRUIKSHANKS Stuart Cameron | RE | Dealing in Futures Contracts | 2008-11-18 | 2011-08-06 | |
| ANT776 | LO Sze Wan, Hera | 盧詩蘊 | RE | Advising on Futures Contracts | 2010-06-10 | 2015-04-27 |
| ANT776 | LO Sze Wan, Hera | 盧詩蘊 | RE | Dealing in Futures Contracts | 2010-06-10 | 2015-04-27 |
| ANT776 | LO Sze Wan, Hera | 盧詩蘊 | RE | Advising on Securities | 2010-06-10 | 2015-04-27 |
| ANT776 | LO Sze Wan, Hera | 盧詩蘊 | RE | Dealing in Securities | 2010-06-10 | 2015-04-27 |
| ANU564 | LEE Yan Ben, Samuel | 李仁本 | RE | Advising on Securities | 2006-08-24 | 2008-05-07 |
| ANU564 | LEE Yan Ben, Samuel | 李仁本 | RE | Dealing in Securities | 2006-08-24 | 2008-05-07 |
| ANU647 | CRISPIN James Anthony | RE | Advising on Futures Contracts | 2010-07-05 | 2013-02-01 | |
| ANU647 | CRISPIN James Anthony | RE | Advising on Securities | 2010-07-05 | 2013-02-01 | |
| ANU647 | CRISPIN James Anthony | RE | Dealing in Futures Contracts | 2010-07-05 | 2013-02-01 | |
| ANU647 | CRISPIN James Anthony | RE | Dealing in Securities | 2010-07-05 | 2013-02-01 | |
| ANU800 | CHUNG Hugh Wook | 丁郁 | RE | Advising on Securities | 2013-04-22 | 2014-02-09 |
| ANU800 | CHUNG Hugh Wook | 丁郁 | RE | Dealing in Securities | 2013-04-22 | 2014-02-09 |
| ANU950 | FACHIN Alix | RE | Dealing in Securities | 2008-02-25 | 2009-11-16 | |
| ANU950 | FACHIN Alix | RE | Advising on Securities | 2008-02-25 | 2009-11-16 | |
| ANU950 | FACHIN Alix | RE | Dealing in Futures Contracts | 2008-02-25 | 2009-11-16 | |
| ANU950 | FACHIN Alix | RE | Advising on Futures Contracts | 2008-02-25 | 2009-11-16 | |
| ANW223 | CHEW Kang Wei | 周康偉 | RE | Advising on Futures Contracts | 2006-08-29 | 2008-07-04 |
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