Hong Kong SFC licence institution AAB361, Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司

These are the licence-holders that were found for SFC licence institution AAB361 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
AAH620 KOH Boon Huat, John Charles 許文法 RE Advising on Securities 2003-04-01 2004-11-29
AAH620 KOH Boon Huat, John Charles 許文法 RO Advising on Securities 2004-11-29 2007-06-10
AAH620 KOH Boon Huat, John Charles 許文法 RE Advising on Futures Contracts 2003-04-01 2004-11-29
AAH620 KOH Boon Huat, John Charles 許文法 RO Advising on Futures Contracts 2004-11-29 2007-06-10
AAH620 KOH Boon Huat, John Charles 許文法 RE Advising on Corporate Finance 2003-04-01 2004-07-15
AAH620 KOH Boon Huat, John Charles 許文法 RE Asset Management 2003-04-01 2004-11-29
AAH620 KOH Boon Huat, John Charles 許文法 RO Asset Management 2004-11-29 2007-06-10
ACB651 CHIDA Hiroyuki RO Advising on Securities 2008-06-02 2014-03-12
ACB651 CHIDA Hiroyuki RO Asset Management 2008-06-02 2014-03-12
ADE461 YUMOTO Tatsuya RE Advising on Securities 2011-11-11 2012-04-21
ADE461 YUMOTO Tatsuya RE Asset Management 2011-11-11 2012-04-21
ADQ680 LAI Siu Ha 黎少霞 RE Advising on Securities 2010-05-06
ADQ680 LAI Siu Ha 黎少霞 RE Asset Management 2010-05-11
AED920 SZETO Fong Wa, Jenny 司徒芳華 RE Advising on Securities 2008-02-18 2013-02-28
AED920 SZETO Fong Wa, Jenny 司徒芳華 RE Asset Management 2008-02-18 2013-02-28
AFS487 TAHARA Atsushi RO Dealing in Securities 2003-04-01 2004-11-29
AFS487 TAHARA Atsushi RO Advising on Securities 2003-04-01 2008-07-01
AFS487 TAHARA Atsushi RO Advising on Futures Contracts 2003-04-01 2007-06-10
AFS487 TAHARA Atsushi RO Asset Management 2003-04-01 2008-07-01
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RE Advising on Securities 2004-11-16 2005-02-16
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RE Advising on Securities 2005-09-29 2006-01-23
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RO Advising on Securities 2005-02-16 2005-09-29
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RO Advising on Securities 2006-01-23 2007-11-01
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RE Advising on Futures Contracts 2004-12-29 2005-06-29
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RE Advising on Futures Contracts 2006-03-15 2007-06-10
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RE Asset Management 2004-12-29 2005-06-29
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RE Asset Management 2007-03-08 2007-08-07
AGJ397 LIU Lai Kuen, Linda 廖麗娟 RO Asset Management 2007-08-07 2007-11-01
AHM250 CHUNG Shuk Fan 鍾淑芬 RE Advising on Securities 2004-07-07 2007-10-30
AHM250 CHUNG Shuk Fan 鍾淑芬 RO Advising on Securities 2007-10-30 2013-02-14
AHM250 CHUNG Shuk Fan 鍾淑芬 RE Advising on Futures Contracts 2004-08-06 2007-06-10
AHM250 CHUNG Shuk Fan 鍾淑芬 RE Asset Management 2004-08-06 2007-10-30
AHM250 CHUNG Shuk Fan 鍾淑芬 RO Asset Management 2007-10-30 2013-02-14
AHY169 MASUZAWA Kenichiro RE Advising on Securities 2003-04-01 2004-05-05
AHY169 MASUZAWA Kenichiro RE Advising on Futures Contracts 2003-04-01 2004-05-05
AHY169 MASUZAWA Kenichiro RE Advising on Corporate Finance 2003-04-01 2004-05-05
AHY169 MASUZAWA Kenichiro RE Asset Management 2003-04-01 2004-05-05
AIB742 LO Ming Ho 盧名豪 RE Advising on Securities 2010-06-09 2012-06-01
AIB742 LO Ming Ho 盧名豪 RE Asset Management 2010-06-09 2012-06-01
AIX141 TSE Tak Wah 謝德華 RE Advising on Securities 2007-12-05 2008-04-09
AIX141 TSE Tak Wah 謝德華 RO Advising on Securities 2008-04-09
AIX141 TSE Tak Wah 謝德華 RE Asset Management 2007-12-05 2008-04-09
AIX141 TSE Tak Wah 謝德華 RO Asset Management 2008-04-09
AJE162 LAI Kwok Leung 黎國樑 RE Advising on Securities 2007-08-02 2010-05-01
AJE162 LAI Kwok Leung 黎國樑 RE Asset Management 2007-09-05 2010-05-01
AJM479 CHOI Allen 蔡國偉 RE Advising on Securities 2010-08-27 2017-12-18
AJM479 CHOI Allen 蔡國偉 RE Asset Management 2010-08-27 2017-12-18
AMY528 TSE Chung Yan 謝頌恩 RE Advising on Securities 2008-10-09 2009-01-06
AMY528 TSE Chung Yan 謝頌恩 RE Asset Management 2008-10-09 2009-01-06
AND904 WILKINS Nigel Phillip RE Advising on Securities 2006-03-27 2007-04-05
ANK163 CHENG Chun Hei 鄭鎮禧 RE Advising on Securities 2012-08-03
ANK163 CHENG Chun Hei 鄭鎮禧 RE Asset Management 2017-07-27
AOU568 WAN Qing 萬青 RE Advising on Securities 2007-04-19 2008-12-31
AOU568 WAN Qing 萬青 RE Asset Management 2008-05-06 2008-12-31
APH113 XING Xiaoyu 邢小羽 RE Advising on Securities 2013-05-23
APH113 XING Xiaoyu 邢小羽 RE Asset Management 2018-02-08
APW357 LEE Ching-ju 李靜如 RE Advising on Securities 2008-03-06 2010-08-06
APW357 LEE Ching-ju 李靜如 RE Asset Management 2008-03-06 2010-08-06
ARP393 WONG Siu Lun 黃兆麟 RE Advising on Securities 2008-10-08 2011-11-10
ATH805 LEE Eric 李灝維 RE Advising on Securities 2009-07-07 2016-11-23
ATL728 NAGAI Hideki 永井秀樹 RE Advising on Securities 2009-07-24 2011-08-01
ATL728 NAGAI Hideki 永井秀樹 RE Asset Management 2009-07-24 2011-08-01
AWP882 OKADA Masakatsu RE Advising on Securities 2011-01-12 2012-05-01
AWQ106 NAGASAWA Yo 長澤陽 RE Advising on Securities 2011-01-12 2012-11-21
AZV570 NUNOMURA Yukio RE Advising on Securities 2012-07-11 2016-12-14
BBE458 SONG Xiukui 宋秀魁 RE Advising on Securities 2013-04-25 2013-08-12
BBE458 SONG Xiukui 宋秀魁 RO Advising on Securities 2013-08-12 2017-07-14
BBE458 SONG Xiukui 宋秀魁 RE Asset Management 2013-04-25 2013-08-12
BBE458 SONG Xiukui 宋秀魁 RO Asset Management 2013-08-12 2017-07-14
BBU613 OZAKI Tadayuki 尾崎忠行 RO Advising on Securities 2013-11-12 2016-09-05
BBU613 OZAKI Tadayuki 尾崎忠行 RO Asset Management 2013-11-12 2016-09-05
BEE420 KWONG Shung Chi, Jeffrey 鄺崇智 RE Advising on Securities 2018-06-22
BEE420 KWONG Shung Chi, Jeffrey 鄺崇智 RE Asset Management 2018-07-23
BFR275 WONG Hoi Ming 黃凱銘 RE Advising on Securities 2018-11-01
BFR275 WONG Hoi Ming 黃凱銘 RE Asset Management 2018-11-01
BHH345 HASHIMOTO Atsushi 橋本充史 RO Advising on Securities 2016-05-12
BHH345 HASHIMOTO Atsushi 橋本充史 RO Asset Management 2016-05-12
BIN853 TANG Chung Hei 鄧棕熙 RE Advising on Securities 2017-01-25
BIN853 TANG Chung Hei 鄧棕熙 RE Asset Management 2018-02-08
BLR875 KUROKI Akira RE Advising on Securities 2018-01-22
BLR875 KUROKI Akira RE Asset Management 2018-01-22

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