Hong Kong SFC licence institution AAB217, Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司

These are the licence-holders that were found for SFC licence institution AAB217 on the SFC website.

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

SFC code English name Chinese name Role Activity Start date End date
AAC295 MAK Chak Hung 麥澤鴻 RE Asset Management 2005-07-27 2006-01-17
AAZ174 SUM Wing Siu 岑永兆 RE Dealing in Securities 2007-05-08 2007-06-28
AAZ174 SUM Wing Siu 岑永兆 RE Advising on Securities 2007-05-08 2007-06-28
AAZ174 SUM Wing Siu 岑永兆 RE Asset Management 2005-11-09 2007-06-28
ACA168 LAU Man Kit 劉文傑 RE Advising on Securities 2003-04-01 2005-01-31
ACA168 LAU Man Kit 劉文傑 RE Advising on Futures Contracts 2003-04-01 2005-01-31
ACA168 LAU Man Kit 劉文傑 RE Advising on Corporate Finance 2003-04-01 2004-08-06
ACA168 LAU Man Kit 劉文傑 RE Asset Management 2003-04-01 2005-07-26
ACT609 CHANG Chung Kwong 曾中光 RO Dealing in Securities 2003-04-01 2005-02-02
ACT609 CHANG Chung Kwong 曾中光 RO Dealing in Securities 2007-05-08 2011-09-21
ACT609 CHANG Chung Kwong 曾中光 RO Advising on Securities 2003-04-01 2005-02-02
ACT609 CHANG Chung Kwong 曾中光 RO Advising on Securities 2007-05-08 2011-09-21
ACT609 CHANG Chung Kwong 曾中光 RO Advising on Futures Contracts 2003-04-01 2005-02-02
ACT609 CHANG Chung Kwong 曾中光 RO Advising on Corporate Finance 2003-04-01 2003-12-16
ACT609 CHANG Chung Kwong 曾中光 RO Asset Management 2003-04-01 2011-09-21
ADV075 TAKAHASHI Masaki 高橋正樹 RE Dealing in Securities 2007-09-10 2008-02-21
ADV075 TAKAHASHI Masaki 高橋正樹 RE Dealing in Securities 2008-08-19 2011-09-19
ADV075 TAKAHASHI Masaki 高橋正樹 RO Dealing in Securities 2008-02-21 2008-08-19
ADV075 TAKAHASHI Masaki 高橋正樹 RO Dealing in Securities 2011-09-19 2013-05-20
ADV075 TAKAHASHI Masaki 高橋正樹 RE Advising on Securities 2007-09-10 2008-02-21
ADV075 TAKAHASHI Masaki 高橋正樹 RE Advising on Securities 2008-08-19 2011-09-19
ADV075 TAKAHASHI Masaki 高橋正樹 RO Advising on Securities 2008-02-21 2008-08-19
ADV075 TAKAHASHI Masaki 高橋正樹 RO Advising on Securities 2011-09-19 2013-05-20
ADV075 TAKAHASHI Masaki 高橋正樹 RE Asset Management 2007-09-10 2008-02-21
ADV075 TAKAHASHI Masaki 高橋正樹 RE Asset Management 2008-08-19 2011-09-19
ADV075 TAKAHASHI Masaki 高橋正樹 RO Asset Management 2008-02-21 2008-08-19
ADV075 TAKAHASHI Masaki 高橋正樹 RO Asset Management 2011-09-19 2013-05-20
ADX923 LEUNG Chi Chung 梁志忠 RE Advising on Securities 2003-04-01 2005-01-31
ADX923 LEUNG Chi Chung 梁志忠 RE Advising on Corporate Finance 2003-04-01 2004-08-06
ADX923 LEUNG Chi Chung 梁志忠 RE Asset Management 2003-04-01 2007-01-11
AGC912 CHOI Wing Kam 蔡詠琴 RE Dealing in Securities 2007-05-08 2007-05-11
AGC912 CHOI Wing Kam 蔡詠琴 RE Advising on Securities 2007-05-08 2007-05-11
AGC912 CHOI Wing Kam 蔡詠琴 RE Asset Management 2004-12-21 2007-05-11
AGF158 LAU Pan, Kenneth 劉斌 RE Dealing in Securities 2007-05-08 2012-09-24
AGF158 LAU Pan, Kenneth 劉斌 RE Advising on Securities 2007-05-08 2012-09-24
AGF158 LAU Pan, Kenneth 劉斌 RE Asset Management 2005-08-01 2012-09-24
AGL485 KWOK Chor Man 郭楚雯 RE Dealing in Securities 2007-06-25 2011-08-15
AGL485 KWOK Chor Man 郭楚雯 RE Advising on Securities 2007-06-25 2011-08-15
AGL485 KWOK Chor Man 郭楚雯 RE Asset Management 2007-06-06 2011-08-15
AHF667 CHAN Choi Wah, Kanise 陳再華 RE Dealing in Securities 2009-12-15 2010-05-19
AHF667 CHAN Choi Wah, Kanise 陳再華 RE Advising on Securities 2009-12-15 2010-05-19
AHF667 CHAN Choi Wah, Kanise 陳再華 RE Asset Management 2010-01-14 2010-05-19
AIC804 HWANG Fai 黃輝 RE Dealing in Securities 2012-09-17 2015-03-01
AIC804 HWANG Fai 黃輝 RE Advising on Securities 2012-09-17 2015-03-01
AIC804 HWANG Fai 黃輝 RE Asset Management 2012-09-17 2015-03-01
AIL065 HOSHINO Kiyotaka 星野清隆 RO Dealing in Securities 2003-04-01 2003-09-11
AIL065 HOSHINO Kiyotaka 星野清隆 RO Advising on Securities 2003-04-01 2003-09-11
AIL065 HOSHINO Kiyotaka 星野清隆 RO Advising on Futures Contracts 2003-04-01 2003-09-11
AIL065 HOSHINO Kiyotaka 星野清隆 RO Asset Management 2003-04-01 2003-09-11
AJE274 WONG Po Yee 黃寶儀 RE Dealing in Securities 2010-08-17 2013-07-10
AJE274 WONG Po Yee 黃寶儀 RE Advising on Securities 2010-08-17 2013-07-10
AJE274 WONG Po Yee 黃寶儀 RE Asset Management 2010-08-17 2013-07-10
AKL739 SHUM Pui Kwan, Catherine 岑佩君 RE Dealing in Securities 2008-03-17 2009-10-28
AKL739 SHUM Pui Kwan, Catherine 岑佩君 RE Advising on Securities 2008-03-17 2009-10-28
AKL739 SHUM Pui Kwan, Catherine 岑佩君 RE Asset Management 2008-04-14 2009-10-28
AKV289 YAMASHITA Katsumi 山下勝美 RO Dealing in Securities 2004-10-05 2005-02-01
AKV289 YAMASHITA Katsumi 山下勝美 RO Advising on Securities 2004-10-05 2005-02-01
AKV289 YAMASHITA Katsumi 山下勝美 RO Asset Management 2004-10-05 2006-09-30
ALA857 CHENG Ka Yee, Catherine 鄭嘉儀 RE Dealing in Securities 2004-08-27 2005-01-31
ALA857 CHENG Ka Yee, Catherine 鄭嘉儀 RE Asset Management 2005-01-31 2005-09-22
AMI196 MAK Yau Fai, Michael 麥有輝 RE Dealing in Securities 2007-05-08 2007-06-19
AMI196 MAK Yau Fai, Michael 麥有輝 RE Advising on Securities 2007-05-08 2007-06-19
AMI196 MAK Yau Fai, Michael 麥有輝 RE Asset Management 2005-09-09 2007-06-19
AMY449 WONG Chun Chiu, Terry 王振釗 RE Dealing in Securities 2008-08-26 2013-11-11
AMY449 WONG Chun Chiu, Terry 王振釗 RO Dealing in Securities 2013-11-11 2015-10-26
AMY449 WONG Chun Chiu, Terry 王振釗 RE Advising on Securities 2008-09-29 2013-11-11
AMY449 WONG Chun Chiu, Terry 王振釗 RO Advising on Securities 2013-11-11 2015-10-26
AMY449 WONG Chun Chiu, Terry 王振釗 RE Asset Management 2008-09-29 2013-11-11
AMY449 WONG Chun Chiu, Terry 王振釗 RO Asset Management 2013-11-11 2015-10-26
ANY120 TERASHIMA Junichi RO Dealing in Securities 2007-05-08 2012-08-31
ANY120 TERASHIMA Junichi RO Advising on Securities 2007-05-08 2012-08-31
ANY120 TERASHIMA Junichi RO Asset Management 2006-09-25 2012-08-31
AOB250 CHAN Yan 陳茵 RE Dealing in Securities 2012-09-12
AOB250 CHAN Yan 陳茵 RE Advising on Securities 2012-09-11
AOB250 CHAN Yan 陳茵 RE Asset Management 2012-09-12
AOG060 YAN Kei Shui, Leo 甄祺瑞 RE Dealing in Securities 2007-08-17 2011-02-07
AOG060 YAN Kei Shui, Leo 甄祺瑞 RE Advising on Securities 2007-08-17 2011-02-07
AOG060 YAN Kei Shui, Leo 甄祺瑞 RE Asset Management 2007-09-25 2011-02-07
APG202 LAM Ting Kin, James 林廷堅 RE Dealing in Securities 2011-04-11 2011-06-01
APG202 LAM Ting Kin, James 林廷堅 RE Advising on Securities 2011-04-11 2011-06-01
APG202 LAM Ting Kin, James 林廷堅 RE Asset Management 2011-04-11 2011-06-01
APO633 WONG Hoi Yan 黃凱欣 RE Dealing in Securities 2011-07-15 2015-03-01
APO633 WONG Hoi Yan 黃凱欣 RE Advising on Securities 2011-07-15 2015-03-01
APO633 WONG Hoi Yan 黃凱欣 RE Asset Management 2011-07-15 2015-03-01
APZ101 LEUNG Richard Chi Wing 梁志榮 RE Dealing in Securities 2013-03-11 2016-06-22
APZ101 LEUNG Richard Chi Wing 梁志榮 RE Advising on Securities 2013-03-11 2016-06-22
APZ101 LEUNG Richard Chi Wing 梁志榮 RE Asset Management 2013-03-11 2016-06-22
ARC144 YAMADA Hiroyuki 山田浩幸 RO Dealing in Securities 2008-06-27 2012-05-25
ARC144 YAMADA Hiroyuki 山田浩幸 RO Advising on Securities 2008-06-27 2012-05-25
ARC144 YAMADA Hiroyuki 山田浩幸 RO Asset Management 2008-06-27 2012-05-25
ARV613 AU Jacqueline Wing-kay 區穎琪 RE Dealing in Securities 2011-09-12 2016-07-15
ARV613 AU Jacqueline Wing-kay 區穎琪 RE Advising on Securities 2011-09-12 2016-07-15
ARV613 AU Jacqueline Wing-kay 區穎琪 RE Asset Management 2011-09-12 2016-07-15
ATM420 CHOI Wing Yin 蔡詠然 RE Dealing in Securities 2011-02-28 2014-12-01
ATM420 CHOI Wing Yin 蔡詠然 RE Advising on Securities 2011-02-28 2014-12-01
ATM420 CHOI Wing Yin 蔡詠然 RE Asset Management 2011-02-28 2014-12-01
AYW027 LUI Chi Hang 呂志恒 RO Dealing in Securities 2012-02-09 2016-02-29
AYW027 LUI Chi Hang 呂志恒 RO Advising on Securities 2012-02-09 2016-02-29
AYW027 LUI Chi Hang 呂志恒 RO Asset Management 2012-02-09 2016-02-29
AZB698 ZHANG Ruiyue 張瑞玥 RE Dealing in Securities 2016-03-07
AZB698 ZHANG Ruiyue 張瑞玥 RE Advising on Securities 2016-03-07
AZB698 ZHANG Ruiyue 張瑞玥 RE Asset Management 2016-03-07
AZM889 ISHIMARU Shinji 石丸慎司 RO Dealing in Securities 2012-06-19 2014-03-03
AZM889 ISHIMARU Shinji 石丸慎司 RO Advising on Securities 2012-06-19 2014-03-03
AZM889 ISHIMARU Shinji 石丸慎司 RO Asset Management 2012-06-19 2014-03-03
BBE969 NG Ho Wah 伍浩樺 RE Dealing in Securities 2017-03-20
BBE969 NG Ho Wah 伍浩樺 RE Advising on Securities 2017-03-20
BBE969 NG Ho Wah 伍浩樺 RE Asset Management 2017-03-20
BCH430 YAMAZAKI Kei RE Dealing in Securities 2013-12-16 2016-02-23
BCH430 YAMAZAKI Kei RE Advising on Securities 2013-12-16 2016-02-23
BCH430 YAMAZAKI Kei RE Asset Management 2013-12-16 2016-02-23
BCH435 KAGIWADA Shun RE Dealing in Securities 2013-12-19
BCH435 KAGIWADA Shun RE Advising on Securities 2013-12-19
BCH435 KAGIWADA Shun RE Asset Management 2013-12-19
BCH439 KAMIISHI Takuya RE Dealing in Securities 2013-12-16 2015-08-06
BCH439 KAMIISHI Takuya RE Advising on Securities 2013-12-16 2015-08-06
BCH439 KAMIISHI Takuya RE Asset Management 2013-12-16 2015-08-06
BCI188 KANAMORI Kazuhito RE Dealing in Securities 2014-02-26 2014-06-01
BCI188 KANAMORI Kazuhito RE Advising on Securities 2014-02-26 2014-06-01
BCI188 KANAMORI Kazuhito RE Asset Management 2014-02-26 2014-06-01
BCI316 CHUREI Daisuke 中禮大輔 RO Dealing in Securities 2014-02-28
BCI316 CHUREI Daisuke 中禮大輔 RO Advising on Securities 2014-02-28
BCI316 CHUREI Daisuke 中禮大輔 RO Asset Management 2014-02-28
BDF470 LAI Siu Lun 黎兆倫 RE Dealing in Securities 2017-03-20
BDF470 LAI Siu Lun 黎兆倫 RE Advising on Securities 2017-03-20
BDF470 LAI Siu Lun 黎兆倫 RE Asset Management 2017-03-20
BFK334 OKADA Junya RO Dealing in Securities 2015-08-17
BFK334 OKADA Junya RO Advising on Securities 2015-08-17
BFK334 OKADA Junya RO Asset Management 2015-08-17
BGB937 YASU Yuma RE Dealing in Securities 2015-09-24 2017-03-30
BGB937 YASU Yuma RE Advising on Securities 2015-09-24 2017-03-30
BGB937 YASU Yuma RE Asset Management 2015-09-24 2017-03-30
BGH607 MA Xiaoqi 馬曉琦 RE Dealing in Securities 2017-02-28 2018-04-26
BGH607 MA Xiaoqi 馬曉琦 RE Advising on Securities 2017-02-28 2018-04-26
BGH607 MA Xiaoqi 馬曉琦 RE Asset Management 2017-02-28 2018-04-26
BGK941 LI Siyu 栗思雨 RE Dealing in Securities 2018-01-08
BGK941 LI Siyu 栗思雨 RE Advising on Securities 2018-01-08
BGK941 LI Siyu 栗思雨 RE Asset Management 2018-01-08
BHC107 LE Di 樂迪 RE Dealing in Securities 2016-06-13 2017-03-10
BHC107 LE Di 樂迪 RE Advising on Securities 2016-06-13 2017-03-10
BHC107 LE Di 樂迪 RE Asset Management 2016-06-13 2017-03-10
BJJ542 TERADA Wataru RE Dealing in Securities 2017-05-02
BJJ542 TERADA Wataru RE Advising on Securities 2017-05-02
BJJ542 TERADA Wataru RE Asset Management 2017-05-02
BLU069 WADA Mariko RE Dealing in Securities 2018-01-08
BLU069 WADA Mariko RE Advising on Securities 2018-01-08
BLU069 WADA Mariko RE Asset Management 2018-01-08

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