These are the licence-holders that were found for SFC licence institution AAB353 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 |
|---|---|---|---|---|---|---|
| AAB002 | CHOW Wun Sing, Winston | 周允成 | RO | Dealing in Securities | 2003-04-01 | |
| AAB002 | CHOW Wun Sing, Winston | 周允成 | RO | Advising on Securities | 2003-04-01 | |
| AAB002 | CHOW Wun Sing, Winston | 周允成 | RO | Advising on Corporate Finance | 2003-04-01 | 2005-01-07 |
| AAB002 | CHOW Wun Sing, Winston | 周允成 | RO | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAB002 | CHOW Wun Sing, Winston | 周允成 | RO | Asset Management | 2003-04-01 | 2005-01-07 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RE | Dealing in Securities | 2003-04-01 | 2006-11-13 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RO | Dealing in Securities | 2006-11-13 | 2012-01-01 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RO | Advising on Securities | 2006-11-13 | 2012-01-01 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAB169 | LAI Lap Chuen | 黎立銓 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AAB246 | YIM Chun Sing | 嚴振聲 | RE | Dealing in Securities | 2003-04-01 | |
| AAB246 | YIM Chun Sing | 嚴振聲 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AAB246 | YIM Chun Sing | 嚴振聲 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AAB246 | YIM Chun Sing | 嚴振聲 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAB246 | YIM Chun Sing | 嚴振聲 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AAB310 | CHOW Wing Shing, Vincent | 周永成 | RO | Dealing in Securities | 2003-04-01 | |
| AAB310 | CHOW Wing Shing, Vincent | 周永成 | RO | Advising on Securities | 2003-04-01 | |
| AAB310 | CHOW Wing Shing, Vincent | 周永成 | RO | Advising on Corporate Finance | 2003-04-01 | 2005-01-07 |
| AAB310 | CHOW Wing Shing, Vincent | 周永成 | RO | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAB310 | CHOW Wing Shing, Vincent | 周永成 | RO | Asset Management | 2003-04-01 | 2005-01-07 |
| AAB341 | FUNG Wai Yee | 馮惠儀 | RE | Dealing in Securities | 2003-04-01 | 2017-06-30 |
| AAB341 | FUNG Wai Yee | 馮惠儀 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AAB341 | FUNG Wai Yee | 馮惠儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AAB341 | FUNG Wai Yee | 馮惠儀 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAB341 | FUNG Wai Yee | 馮惠儀 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AAC016 | YAU Ming Kwan, Mark | 丘明崑 | RE | Dealing in Securities | 2004-06-10 | 2017-08-01 |
| AAC016 | YAU Ming Kwan, Mark | 丘明崑 | RE | Advising on Securities | 2004-06-10 | 2017-08-01 |
| AAF498 | LO Ying Lun | 勞應麟 | RE | Dealing in Securities | 2005-01-25 | |
| AAJ533 | YEUNG Chi Fai | 楊志揮 | RE | Dealing in Securities | 2003-04-01 | 2017-09-25 |
| AAJ533 | YEUNG Chi Fai | 楊志揮 | RO | Dealing in Securities | 2017-09-25 | |
| AAJ533 | YEUNG Chi Fai | 楊志揮 | RE | Advising on Securities | 2003-04-01 | |
| AAJ533 | YEUNG Chi Fai | 楊志揮 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AAJ533 | YEUNG Chi Fai | 楊志揮 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAJ533 | YEUNG Chi Fai | 楊志揮 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AAJ619 | LEE Ka Shun | 李家順 | RE | Dealing in Securities | 2003-04-01 | 2006-12-19 |
| AAJ619 | LEE Ka Shun | 李家順 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AAJ619 | LEE Ka Shun | 李家順 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AAJ619 | LEE Ka Shun | 李家順 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAJ619 | LEE Ka Shun | 李家順 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AAY889 | CHOW Tsui Har | 周翠霞 | RE | Dealing in Securities | 2003-04-01 | |
| AAY889 | CHOW Tsui Har | 周翠霞 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AAY889 | CHOW Tsui Har | 周翠霞 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AAY889 | CHOW Tsui Har | 周翠霞 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AAY889 | CHOW Tsui Har | 周翠霞 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| ABF928 | AU Kin Man | 歐建文 | RE | Dealing in Securities | 2003-04-01 | 2017-09-25 |
| ABF928 | AU Kin Man | 歐建文 | RO | Dealing in Securities | 2017-09-25 | |
| ABF928 | AU Kin Man | 歐建文 | RE | Advising on Securities | 2003-04-01 | 2005-01-06 |
| ABF928 | AU Kin Man | 歐建文 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-06 |
| ABF928 | AU Kin Man | 歐建文 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ABF928 | AU Kin Man | 歐建文 | RE | Asset Management | 2003-04-01 | 2005-01-06 |
| ABG703 | LEUNG Wai Man, Raymond | 梁偉文 | RE | Dealing in Securities | 2015-06-01 | |
| ABS170 | CHAN Chi Lung | 陳智龍 | RE | Dealing in Securities | 2004-04-23 | 2004-10-30 |
| ABS401 | CHOW Yan Kin | 周欣鍵 | RE | Dealing in Securities | 2007-08-21 | 2009-06-01 |
| ABS411 | LAW Lai Yee | 羅麗儀 | RE | Dealing in Securities | 2003-04-01 | 2007-07-09 |
| ABS411 | LAW Lai Yee | 羅麗儀 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ABS411 | LAW Lai Yee | 羅麗儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ABS411 | LAW Lai Yee | 羅麗儀 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ABS411 | LAW Lai Yee | 羅麗儀 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ABT099 | YUNG Chun Ming, Andrew | 容俊明 | RE | Dealing in Securities | 2003-04-01 | 2007-03-01 |
| ABT099 | YUNG Chun Ming, Andrew | 容俊明 | RE | Advising on Securities | 2003-04-01 | 2007-03-01 |
| ABT099 | YUNG Chun Ming, Andrew | 容俊明 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-07 |
| ABT099 | YUNG Chun Ming, Andrew | 容俊明 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ABT099 | YUNG Chun Ming, Andrew | 容俊明 | RE | Asset Management | 2003-04-01 | 2004-04-07 |
| ABZ478 | HO Yee May | 何綺媚 | RE | Dealing in Securities | 2003-04-01 | |
| ABZ478 | HO Yee May | 何綺媚 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ABZ478 | HO Yee May | 何綺媚 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ABZ478 | HO Yee May | 何綺媚 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ABZ478 | HO Yee May | 何綺媚 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ACH285 | LIU Yun Fun, Christina | 廖潤芬 | RE | Dealing in Securities | 2003-04-01 | |
| ACH285 | LIU Yun Fun, Christina | 廖潤芬 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ACH285 | LIU Yun Fun, Christina | 廖潤芬 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ACH285 | LIU Yun Fun, Christina | 廖潤芬 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ACH285 | LIU Yun Fun, Christina | 廖潤芬 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ACJ226 | KWAN Yuk Yin | 關玉燕 | RE | Dealing in Securities | 2004-05-19 | |
| ACJ227 | HUI Ka Wah | 許家驊 | RE | Dealing in Securities | 2003-04-01 | |
| ACJ227 | HUI Ka Wah | 許家驊 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ACJ227 | HUI Ka Wah | 許家驊 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ACJ227 | HUI Ka Wah | 許家驊 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ACJ227 | HUI Ka Wah | 許家驊 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ACJ463 | LEUNG Kar Lok | 梁家樂 | RE | Dealing in Securities | 2003-04-01 | 2017-10-09 |
| ACJ463 | LEUNG Kar Lok | 梁家樂 | RO | Dealing in Securities | 2017-10-09 | |
| ACJ463 | LEUNG Kar Lok | 梁家樂 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ACJ463 | LEUNG Kar Lok | 梁家樂 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ACJ463 | LEUNG Kar Lok | 梁家樂 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ACJ463 | LEUNG Kar Lok | 梁家樂 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ACK035 | CHOW Sau Fan | 周壽芬 | RE | Dealing in Securities | 2003-04-01 | 2012-01-01 |
| ACK035 | CHOW Sau Fan | 周壽芬 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| ACK035 | CHOW Sau Fan | 周壽芬 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| ACK035 | CHOW Sau Fan | 周壽芬 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ACK035 | CHOW Sau Fan | 周壽芬 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| ACL025 | KO Lap Wai, Lawerance | 高立緯 | RE | Dealing in Securities | 2004-05-19 | |
| ACL025 | KO Lap Wai, Lawerance | 高立緯 | RE | Advising on Securities | 2004-05-19 | 2004-11-22 |
| ACT286 | TANG Yee Fai | 鄧意輝 | RE | Dealing in Securities | 2003-04-01 | 2017-10-03 |
| ACT286 | TANG Yee Fai | 鄧意輝 | RE | Advising on Securities | 2003-04-01 | 2004-12-28 |
| ACT286 | TANG Yee Fai | 鄧意輝 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-12-28 |
| ACT286 | TANG Yee Fai | 鄧意輝 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ACT286 | TANG Yee Fai | 鄧意輝 | RE | Asset Management | 2003-04-01 | 2004-12-28 |
| ACV343 | CHANG Yau Hing, Candy | 張有興 | RE | Dealing in Securities | 2003-04-01 | |
| ACV343 | CHANG Yau Hing, Candy | 張有興 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| ACV343 | CHANG Yau Hing, Candy | 張有興 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| ACV343 | CHANG Yau Hing, Candy | 張有興 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ACV343 | CHANG Yau Hing, Candy | 張有興 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| ACX407 | SIU Yee Yu | 蕭綺瑜 | RE | Dealing in Securities | 2014-03-03 | 2017-06-30 |
| ADA898 | TSANG Man To | 曾文韜 | RE | Dealing in Securities | 2003-04-01 | |
| ADA898 | TSANG Man To | 曾文韜 | RE | Advising on Securities | 2003-04-01 | 2004-12-28 |
| ADA898 | TSANG Man To | 曾文韜 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-12-28 |
| ADA898 | TSANG Man To | 曾文韜 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADA898 | TSANG Man To | 曾文韜 | RE | Asset Management | 2003-04-01 | 2004-12-28 |
| ADC878 | WONG Shuk Han | 黃淑嫻 | RE | Dealing in Securities | 2003-04-01 | |
| ADC878 | WONG Shuk Han | 黃淑嫻 | RE | Advising on Securities | 2003-04-01 | |
| ADC878 | WONG Shuk Han | 黃淑嫻 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| ADC878 | WONG Shuk Han | 黃淑嫻 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADC878 | WONG Shuk Han | 黃淑嫻 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| ADC879 | MA Wai Sze | 馬慧施 | RE | Dealing in Securities | 2003-04-01 | |
| ADC879 | MA Wai Sze | 馬慧施 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ADC879 | MA Wai Sze | 馬慧施 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ADC879 | MA Wai Sze | 馬慧施 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADC879 | MA Wai Sze | 馬慧施 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ADG088 | CHAN Ka Wing | 陳家榮 | RE | Dealing in Securities | 2003-04-01 | |
| ADG088 | CHAN Ka Wing | 陳家榮 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| ADG088 | CHAN Ka Wing | 陳家榮 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| ADG088 | CHAN Ka Wing | 陳家榮 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADG088 | CHAN Ka Wing | 陳家榮 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| ADI895 | MOK Hung Lau | 莫紅柳 | RE | Dealing in Securities | 2003-04-01 | 2012-01-01 |
| ADI895 | MOK Hung Lau | 莫紅柳 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ADI895 | MOK Hung Lau | 莫紅柳 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ADI895 | MOK Hung Lau | 莫紅柳 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADI895 | MOK Hung Lau | 莫紅柳 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ADQ081 | POON Chi Ming, Andy | 潘志明 | RE | Dealing in Securities | 2003-04-01 | |
| ADQ081 | POON Chi Ming, Andy | 潘志明 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ADQ081 | POON Chi Ming, Andy | 潘志明 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ADQ081 | POON Chi Ming, Andy | 潘志明 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADQ081 | POON Chi Ming, Andy | 潘志明 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ADV805 | TSE Chi Leung | 謝賜樑 | RE | Dealing in Securities | 2003-04-01 | 2005-11-05 |
| ADV805 | TSE Chi Leung | 謝賜樑 | RE | Advising on Securities | 2003-04-01 | 2005-11-05 |
| ADV805 | TSE Chi Leung | 謝賜樑 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ADV805 | TSE Chi Leung | 謝賜樑 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADV805 | TSE Chi Leung | 謝賜樑 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ADZ963 | LUK Wai Chuen, Sunny | 陸偉泉 | RE | Dealing in Securities | 2003-04-01 | 2015-03-01 |
| ADZ963 | LUK Wai Chuen, Sunny | 陸偉泉 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ADZ963 | LUK Wai Chuen, Sunny | 陸偉泉 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ADZ963 | LUK Wai Chuen, Sunny | 陸偉泉 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADZ963 | LUK Wai Chuen, Sunny | 陸偉泉 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| ADZ964 | CHUNG Wing Wah, Benny | 鍾穎樺 | RE | Dealing in Securities | 2003-04-01 | 2013-08-01 |
| ADZ964 | CHUNG Wing Wah, Benny | 鍾穎樺 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| ADZ964 | CHUNG Wing Wah, Benny | 鍾穎樺 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| ADZ964 | CHUNG Wing Wah, Benny | 鍾穎樺 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| ADZ964 | CHUNG Wing Wah, Benny | 鍾穎樺 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AEA535 | LEE Wing Keung, Toby | 李永強 | RE | Dealing in Securities | 2003-04-01 | |
| AEA535 | LEE Wing Keung, Toby | 李永強 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AEA535 | LEE Wing Keung, Toby | 李永強 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AEA535 | LEE Wing Keung, Toby | 李永強 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AEA535 | LEE Wing Keung, Toby | 李永強 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AED171 | HEUNG Sze Wan, Sylvanne | 香詩韻 | RE | Dealing in Securities | 2003-04-01 | 2004-07-26 |
| AED171 | HEUNG Sze Wan, Sylvanne | 香詩韻 | RE | Advising on Securities | 2003-04-01 | 2004-07-26 |
| AED171 | HEUNG Sze Wan, Sylvanne | 香詩韻 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-07-26 |
| AED171 | HEUNG Sze Wan, Sylvanne | 香詩韻 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AED171 | HEUNG Sze Wan, Sylvanne | 香詩韻 | RE | Asset Management | 2003-04-01 | 2004-07-26 |
| AED732 | SUM Ming Kit | 沈明傑 | RE | Dealing in Securities | 2003-04-01 | 2003-06-16 |
| AED732 | SUM Ming Kit | 沈明傑 | RE | Advising on Securities | 2003-04-01 | 2003-06-16 |
| AED732 | SUM Ming Kit | 沈明傑 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-16 |
| AED732 | SUM Ming Kit | 沈明傑 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-06-16 |
| AED732 | SUM Ming Kit | 沈明傑 | RE | Asset Management | 2003-04-01 | 2003-06-16 |
| AEF330 | MA Yung Yuan | 馬永源 | RE | Dealing in Securities | 2003-04-01 | 2008-07-03 |
| AEF330 | MA Yung Yuan | 馬永源 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AEF330 | MA Yung Yuan | 馬永源 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AEF330 | MA Yung Yuan | 馬永源 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AEF330 | MA Yung Yuan | 馬永源 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AEF532 | NG Sau Fong | 吳秀芳 | RE | Dealing in Securities | 2003-04-01 | |
| AEF532 | NG Sau Fong | 吳秀芳 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AEF532 | NG Sau Fong | 吳秀芳 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AEF532 | NG Sau Fong | 吳秀芳 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AEF532 | NG Sau Fong | 吳秀芳 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AEF827 | CHAN Tsui Yin | 陳翠燕 | RE | Dealing in Securities | 2003-04-01 | |
| AEF827 | CHAN Tsui Yin | 陳翠燕 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AEF827 | CHAN Tsui Yin | 陳翠燕 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AEF827 | CHAN Tsui Yin | 陳翠燕 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AEF827 | CHAN Tsui Yin | 陳翠燕 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AEJ888 | WONG Chung Ming | 王頌明 | RE | Dealing in Securities | 2003-04-01 | 2018-05-30 |
| AEJ888 | WONG Chung Ming | 王頌明 | RE | Advising on Securities | 2003-04-01 | 2018-05-30 |
| AEJ888 | WONG Chung Ming | 王頌明 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AEJ888 | WONG Chung Ming | 王頌明 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AEJ888 | WONG Chung Ming | 王頌明 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AFE059 | LAU Yiu Fai | 劉耀輝 | RE | Dealing in Securities | 2003-04-01 | |
| AFE059 | LAU Yiu Fai | 劉耀輝 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AFE059 | LAU Yiu Fai | 劉耀輝 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AFE059 | LAU Yiu Fai | 劉耀輝 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AFE059 | LAU Yiu Fai | 劉耀輝 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AFI651 | KONG Koon Yu | 鄺冠宇 | RE | Dealing in Securities | 2003-04-01 | |
| AFI651 | KONG Koon Yu | 鄺冠宇 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AFI651 | KONG Koon Yu | 鄺冠宇 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AFI651 | KONG Koon Yu | 鄺冠宇 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AFI651 | KONG Koon Yu | 鄺冠宇 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AFN122 | CHAN Chung Tai | 陳宗泰 | RE | Dealing in Securities | 2003-04-01 | |
| AFN122 | CHAN Chung Tai | 陳宗泰 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AFN122 | CHAN Chung Tai | 陳宗泰 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AFN122 | CHAN Chung Tai | 陳宗泰 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AFN122 | CHAN Chung Tai | 陳宗泰 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RE | Dealing in Securities | 2016-02-01 | 2018-09-17 |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RO | Dealing in Securities | 2018-09-17 | |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RE | Advising on Securities | 2016-02-01 | 2018-09-17 |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RO | Advising on Securities | 2018-09-17 | |
| AFQ056 | TANG Ho Leung | 鄧浩良 | RE | Dealing in Securities | 2014-07-10 | |
| AFV784 | LEONG Wai Ip | 梁偉業 | RE | Dealing in Securities | 2007-04-18 | 2008-10-09 |
| AFW238 | NG Kim Fung, Kimmy | 吳劍峰 | RE | Dealing in Securities | 2003-04-01 | 2004-03-20 |
| AFW238 | NG Kim Fung, Kimmy | 吳劍峰 | RE | Advising on Securities | 2003-04-01 | 2004-03-20 |
| AFW238 | NG Kim Fung, Kimmy | 吳劍峰 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-20 |
| AFW238 | NG Kim Fung, Kimmy | 吳劍峰 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AFW238 | NG Kim Fung, Kimmy | 吳劍峰 | RE | Asset Management | 2003-04-01 | 2004-03-20 |
| AFW907 | TO Shing Kwong | 杜勝光 | RE | Dealing in Securities | 2003-04-01 | |
| AFW907 | TO Shing Kwong | 杜勝光 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AFW907 | TO Shing Kwong | 杜勝光 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AFW907 | TO Shing Kwong | 杜勝光 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AFW907 | TO Shing Kwong | 杜勝光 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AGI948 | YIP Wai Kui | 葉偉驅 | RE | Dealing in Securities | 2003-04-01 | |
| AGI948 | YIP Wai Kui | 葉偉驅 | RE | Advising on Securities | 2003-04-01 | 2005-01-04 |
| AGI948 | YIP Wai Kui | 葉偉驅 | RE | Advising on Securities | 2011-02-09 | |
| AGI948 | YIP Wai Kui | 葉偉驅 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-04 |
| AGI948 | YIP Wai Kui | 葉偉驅 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AGI948 | YIP Wai Kui | 葉偉驅 | RE | Asset Management | 2003-04-01 | 2005-01-04 |
| AGM457 | LEUNG Shuk Ting, Sharon | 梁淑婷 | RE | Dealing in Securities | 2003-04-01 | 2004-05-06 |
| AGM457 | LEUNG Shuk Ting, Sharon | 梁淑婷 | RE | Advising on Securities | 2003-04-01 | 2004-05-06 |
| AGM457 | LEUNG Shuk Ting, Sharon | 梁淑婷 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-06 |
| AGM457 | LEUNG Shuk Ting, Sharon | 梁淑婷 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AGM457 | LEUNG Shuk Ting, Sharon | 梁淑婷 | RE | Asset Management | 2003-04-01 | 2004-05-06 |
| AIR968 | TANG Ah Fei | 鄧亞非 | RE | Dealing in Securities | 2003-04-01 | |
| AIR968 | TANG Ah Fei | 鄧亞非 | RE | Advising on Securities | 2003-04-01 | 2004-11-24 |
| AIR968 | TANG Ah Fei | 鄧亞非 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-07 |
| AIR968 | TANG Ah Fei | 鄧亞非 | RE | Providing Automated Trading Services | 2003-04-01 | 2003-08-04 |
| AIR968 | TANG Ah Fei | 鄧亞非 | RE | Asset Management | 2003-04-01 | 2004-04-07 |
| AIU213 | TANG Cheuk Lun, Alan | 鄧卓麟 | RE | Dealing in Securities | 2003-05-16 | 2007-04-05 |
| AIU213 | TANG Cheuk Lun, Alan | 鄧卓麟 | RE | Dealing in Securities | 2008-07-18 | |
| AIU213 | TANG Cheuk Lun, Alan | 鄧卓麟 | RE | Providing Automated Trading Services | 2003-05-16 | 2003-08-04 |
| AKW440 | FONG Kwan Nei | 方君妮 | RE | Dealing in Securities | 2004-06-30 | 2004-11-06 |
| AKW440 | FONG Kwan Nei | 方君妮 | RE | Advising on Securities | 2004-06-30 | 2004-11-06 |
| ALC002 | LING Sai Cheung | 凌世祥 | RE | Dealing in Securities | 2017-12-19 | |
| ALQ474 | WOO Sum Ling | 胡心羚 | RE | Dealing in Securities | 2005-01-14 | 2008-06-18 |
| ALQ474 | WOO Sum Ling | 胡心羚 | RE | Dealing in Securities | 2010-01-04 | 2011-04-30 |
| AME481 | NG Kwok Lung | 吳國隆 | RE | Dealing in Securities | 2015-08-12 | 2018-03-15 |
| ANE659 | WONG Siu Lai | 黃少麗 | RE | Dealing in Securities | 2015-07-31 | |
| ANP373 | WANG Le | 王樂 | RE | Dealing in Securities | 2006-08-29 | 2009-04-21 |
| ANT381 | MAK Wei Yee, Susan | 麥惠怡 | RE | Dealing in Securities | 2006-08-03 | 2008-01-03 |
| ANT381 | MAK Wei Yee, Susan | 麥惠怡 | RO | Dealing in Securities | 2008-01-03 | |
| ANT381 | MAK Wei Yee, Susan | 麥惠怡 | RE | Advising on Securities | 2006-08-03 | 2008-01-03 |
| ANT381 | MAK Wei Yee, Susan | 麥惠怡 | RO | Advising on Securities | 2008-01-03 | |
| ANZ992 | LAU Nga Yee | 劉雅儀 | RE | Dealing in Securities | 2007-06-14 | |
| APA400 | TAO Wing Sum | 杜詠琛 | RE | Dealing in Securities | 2007-06-11 | |
| APB284 | FUNG Ching Cheung | 馮正祥 | RE | Dealing in Securities | 2007-06-06 | 2018-07-20 |
| APL317 | LEE Siu Ping | 李少萍 | RE | Dealing in Securities | 2009-06-26 | |
| APL472 | SIU Pak Him | 蕭百謙 | RE | Dealing in Securities | 2007-08-21 | 2015-06-01 |
| APZ154 | LO Ming Wai, Rae | 盧明慧 | RE | Dealing in Securities | 2007-11-07 | |
| ARB854 | CHOW Sai Fat | 周世發 | RE | Dealing in Securities | 2015-06-01 | |
| ARD527 | WONG Man Yin | 黃敏然 | RE | Dealing in Securities | 2008-05-28 | 2008-11-01 |
| ARD530 | CHAN Chi Hang | 陳志恆 | RE | Dealing in Securities | 2008-05-28 | 2013-04-04 |
| ARN597 | LAW Yin Ping | 羅燕萍 | RE | Dealing in Securities | 2008-08-26 | 2009-03-03 |
| ARN597 | LAW Yin Ping | 羅燕萍 | RE | Dealing in Securities | 2015-02-13 | 2016-09-25 |
| ATJ266 | KAN Pui Sai, Katie | 簡貝茜 | RE | Dealing in Securities | 2009-07-20 | |
| ATY775 | CHAN Man Chun | 陳文俊 | RE | Dealing in Securities | 2009-10-23 | 2010-05-25 |
| AUP395 | TSOI Ka Wai, Derek | 蔡家威 | RE | Dealing in Securities | 2010-01-22 | 2015-06-13 |
| AVN069 | WU Hang Kin | 胡恆健 | RE | Dealing in Securities | 2010-08-13 | |
| AWN747 | YU Wai Hung | 余偉雄 | RE | Dealing in Securities | 2010-12-23 | |
| AWY617 | U Pou Keong | 余寶強 | RE | Dealing in Securities | 2014-06-16 | 2014-08-05 |
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