Below are the licence-holders that were found for SFC licence institution AAE617 on the SFC website.
FT Securities Limited
富通證券有限公司
Key for Role: RE = Respresentative, RO = Responsible Officer
| SFC code | English name | Chinese name | Role | Activity | Start date | End date |
|---|---|---|---|---|---|---|
| AAA500 | YEUNG Wing Choi, Jeffrey | 楊永材 | RE | Dealing in Securities | 2003-04-01 | 2007-01-25 |
| AAA500 | YEUNG Wing Choi, Jeffrey | 楊永材 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-01-25 |
| AAA500 | YEUNG Wing Choi, Jeffrey | 楊永材 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AAA500 | YEUNG Wing Choi, Jeffrey | 楊永材 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-01-25 |
| AAA500 | YEUNG Wing Choi, Jeffrey | 楊永材 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AAA500 | YEUNG Wing Choi, Jeffrey | 楊永材 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AAA941 | AU YEUNG LEUNG Suk Men, Piera | 歐陽梁淑敏 | RO | Dealing in Securities | 2005-09-30 | 2007-11-20 |
| AAA941 | AU YEUNG LEUNG Suk Men, Piera | 歐陽梁淑敏 | RO | Advising on Securities | 2005-09-30 | 2007-11-20 |
| AAA941 | AU YEUNG LEUNG Suk Men, Piera | 歐陽梁淑敏 | RO | Asset Management | 2005-09-30 | 2007-11-20 |
| AAB672 | SUNG Ham Kin, Edmund | 宋涵堅 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAB672 | SUNG Ham Kin, Edmund | 宋涵堅 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAB672 | SUNG Ham Kin, Edmund | 宋涵堅 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AAB672 | SUNG Ham Kin, Edmund | 宋涵堅 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAB672 | SUNG Ham Kin, Edmund | 宋涵堅 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AAB672 | SUNG Ham Kin, Edmund | 宋涵堅 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AAC109 | CHAN Chi Wai | 陳志偉 | RE | Dealing in Securities | 2003-04-01 | 2010-12-16 |
| AAC109 | CHAN Chi Wai | 陳志偉 | RE | Dealing in Securities | 2011-07-05 | |
| AAC109 | CHAN Chi Wai | 陳志偉 | RE | Dealing in Futures Contracts | 2011-07-05 | 2012-06-27 |
| AAC109 | CHAN Chi Wai | 陳志偉 | RE | Advising on Securities | 2003-04-01 | 2004-06-02 |
| AAC109 | CHAN Chi Wai | 陳志偉 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-06-02 |
| AAC109 | CHAN Chi Wai | 陳志偉 | RE | Asset Management | 2003-04-01 | 2004-06-02 |
| AAD085 | OMURA Yoshiyuki | 大村良幸 | RE | Dealing in Securities | 2012-01-16 | 2012-06-20 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RE | Dealing in Securities | 2005-07-14 | 2006-06-17 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RO | Dealing in Securities | 2003-04-01 | 2005-07-14 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-06-17 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RE | Advising on Securities | 2005-07-14 | 2006-06-17 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RO | Advising on Securities | 2003-04-01 | 2005-07-14 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-06-17 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-12-07 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RE | Asset Management | 2005-07-14 | 2005-07-29 |
| AAE448 | YEUNG Leung Yu, Murray | 楊亮瑜 | RO | Asset Management | 2003-04-01 | 2005-07-14 |
| AAE455 | YEE Mei Yuk, Rebecca | 余美玉 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAE455 | YEE Mei Yuk, Rebecca | 余美玉 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE455 | YEE Mei Yuk, Rebecca | 余美玉 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AAE455 | YEE Mei Yuk, Rebecca | 余美玉 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE455 | YEE Mei Yuk, Rebecca | 余美玉 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AAE455 | YEE Mei Yuk, Rebecca | 余美玉 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AAE460 | WONG Sai Fuk, Victor | 王世福 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAE460 | WONG Sai Fuk, Victor | 王世福 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE460 | WONG Sai Fuk, Victor | 王世福 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AAE460 | WONG Sai Fuk, Victor | 王世福 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE460 | WONG Sai Fuk, Victor | 王世福 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AAE460 | WONG Sai Fuk, Victor | 王世福 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AAE501 | LI Chuen Ming, Gordon | 李泉銘 | RE | Dealing in Securities | 2003-04-01 | 2007-01-01 |
| AAE501 | LI Chuen Ming, Gordon | 李泉銘 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-01-01 |
| AAE501 | LI Chuen Ming, Gordon | 李泉銘 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| AAE501 | LI Chuen Ming, Gordon | 李泉銘 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-01-01 |
| AAE501 | LI Chuen Ming, Gordon | 李泉銘 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| AAE501 | LI Chuen Ming, Gordon | 李泉銘 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| AAE506 | LEUNG Kam Wah, Lawrence | 梁錦華 | RE | Dealing in Securities | 2003-04-01 | 2007-01-25 |
| AAE506 | LEUNG Kam Wah, Lawrence | 梁錦華 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-01-25 |
| AAE506 | LEUNG Kam Wah, Lawrence | 梁錦華 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| AAE506 | LEUNG Kam Wah, Lawrence | 梁錦華 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-01-25 |
| AAE506 | LEUNG Kam Wah, Lawrence | 梁錦華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| AAE506 | LEUNG Kam Wah, Lawrence | 梁錦華 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| AAE515 | LAU Yee Wa, Raymond | 劉怡華 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAE515 | LAU Yee Wa, Raymond | 劉怡華 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE515 | LAU Yee Wa, Raymond | 劉怡華 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| AAE515 | LAU Yee Wa, Raymond | 劉怡華 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE515 | LAU Yee Wa, Raymond | 劉怡華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| AAE515 | LAU Yee Wa, Raymond | 劉怡華 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| AAE548 | ZI Nai Kong, Nicholas | 徐乃綱 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAE548 | ZI Nai Kong, Nicholas | 徐乃綱 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE548 | ZI Nai Kong, Nicholas | 徐乃綱 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AAE548 | ZI Nai Kong, Nicholas | 徐乃綱 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE548 | ZI Nai Kong, Nicholas | 徐乃綱 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AAE548 | ZI Nai Kong, Nicholas | 徐乃綱 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AAE569 | LIU Luk Por, Desmond | 廖淥波 | RO | Dealing in Securities | 2003-04-01 | 2005-03-01 |
| AAE569 | LIU Luk Por, Desmond | 廖淥波 | RO | Advising on Securities | 2003-04-01 | 2005-03-01 |
| AAE569 | LIU Luk Por, Desmond | 廖淥波 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-12-07 |
| AAE569 | LIU Luk Por, Desmond | 廖淥波 | RO | Asset Management | 2003-04-01 | 2005-03-01 |
| AAE792 | SHUEN Lai Kuen, Barbara | 旋麗娟 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAE792 | SHUEN Lai Kuen, Barbara | 旋麗娟 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE792 | SHUEN Lai Kuen, Barbara | 旋麗娟 | RE | Advising on Securities | 2003-04-01 | 2004-10-14 |
| AAE792 | SHUEN Lai Kuen, Barbara | 旋麗娟 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE792 | SHUEN Lai Kuen, Barbara | 旋麗娟 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-14 |
| AAE792 | SHUEN Lai Kuen, Barbara | 旋麗娟 | RE | Asset Management | 2003-04-01 | 2004-10-14 |
| AAE956 | NG Kai Feng Cecilia | 吳昀曉 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAE956 | NG Kai Feng Cecilia | 吳昀曉 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE956 | NG Kai Feng Cecilia | 吳昀曉 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AAE956 | NG Kai Feng Cecilia | 吳昀曉 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAE956 | NG Kai Feng Cecilia | 吳昀曉 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AAE956 | NG Kai Feng Cecilia | 吳昀曉 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AAG891 | YIU Shing Wai | 姚盛慧 | RE | Dealing in Securities | 2018-03-26 | 2018-04-12 |
| AAG891 | YIU Shing Wai | 姚盛慧 | RO | Dealing in Securities | 2018-04-12 | |
| AAG891 | YIU Shing Wai | 姚盛慧 | RO | Advising on Securities | 2018-04-12 | |
| AAH165 | LEUNG Fuk Kuen, Eddie | 梁福權 | RE | Dealing in Securities | 2003-04-01 | 2005-03-18 |
| AAH165 | LEUNG Fuk Kuen, Eddie | 梁福權 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| AAH165 | LEUNG Fuk Kuen, Eddie | 梁福權 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| AAH165 | LEUNG Fuk Kuen, Eddie | 梁福權 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| AAI316 | CHEUNG Sai Wing, Nicholas | 張世榮 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAI316 | CHEUNG Sai Wing, Nicholas | 張世榮 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAI316 | CHEUNG Sai Wing, Nicholas | 張世榮 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| AAI316 | CHEUNG Sai Wing, Nicholas | 張世榮 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAI316 | CHEUNG Sai Wing, Nicholas | 張世榮 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| AAI316 | CHEUNG Sai Wing, Nicholas | 張世榮 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| AAJ442 | YIM Kar Lai | 嚴嘉麗 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAJ442 | YIM Kar Lai | 嚴嘉麗 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAJ442 | YIM Kar Lai | 嚴嘉麗 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AAJ442 | YIM Kar Lai | 嚴嘉麗 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAJ442 | YIM Kar Lai | 嚴嘉麗 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AAJ442 | YIM Kar Lai | 嚴嘉麗 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AAJ444 | TSANG Wai Yin, Wendy | 曾惠賢 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAJ444 | TSANG Wai Yin, Wendy | 曾惠賢 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAJ444 | TSANG Wai Yin, Wendy | 曾惠賢 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AAJ444 | TSANG Wai Yin, Wendy | 曾惠賢 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAJ444 | TSANG Wai Yin, Wendy | 曾惠賢 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AAJ444 | TSANG Wai Yin, Wendy | 曾惠賢 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AAJ978 | CHENG Yin Wah, Irene | 鄭燕華 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAJ978 | CHENG Yin Wah, Irene | 鄭燕華 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAJ978 | CHENG Yin Wah, Irene | 鄭燕華 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AAJ978 | CHENG Yin Wah, Irene | 鄭燕華 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAJ978 | CHENG Yin Wah, Irene | 鄭燕華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AAJ978 | CHENG Yin Wah, Irene | 鄭燕華 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AAK739 | LEE Shuk Yee, Betty | 李淑懿 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAK739 | LEE Shuk Yee, Betty | 李淑懿 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAK739 | LEE Shuk Yee, Betty | 李淑懿 | RE | Advising on Securities | 2003-04-01 | 2004-03-15 |
| AAK739 | LEE Shuk Yee, Betty | 李淑懿 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAK739 | LEE Shuk Yee, Betty | 李淑懿 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-15 |
| AAK739 | LEE Shuk Yee, Betty | 李淑懿 | RE | Asset Management | 2003-04-01 | 2004-03-15 |
| AAK741 | LO Shun Tat | 盧順達 | RE | Dealing in Securities | 2008-08-05 | 2009-06-01 |
| AAK741 | LO Shun Tat | 盧順達 | RE | Dealing in Futures Contracts | 2008-08-05 | 2009-06-01 |
| AAK741 | LO Shun Tat | 盧順達 | RE | Advising on Futures Contracts | 2008-08-05 | 2009-06-01 |
| AAQ384 | LEE Nga Lam, Adelina | 李雅琳 | RE | Dealing in Securities | 2011-12-22 | 2012-04-28 |
| AAQ384 | LEE Nga Lam, Adelina | 李雅琳 | RE | Dealing in Futures Contracts | 2011-12-22 | 2012-04-28 |
| AAW434 | CHANG Chih Ping, Tony | 張志平 | RE | Dealing in Securities | 2012-11-20 | 2013-01-08 |
| AAW434 | CHANG Chih Ping, Tony | 張志平 | RO | Dealing in Securities | 2013-01-08 | 2013-10-10 |
| AAY606 | WONG Wai Han, Jill | 黃慧嫻 | RE | Dealing in Securities | 2003-04-01 | 2004-04-27 |
| AAY606 | WONG Wai Han, Jill | 黃慧嫻 | RE | Advising on Securities | 2003-04-01 | 2004-04-27 |
| AAY606 | WONG Wai Han, Jill | 黃慧嫻 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-27 |
| AAY606 | WONG Wai Han, Jill | 黃慧嫻 | RE | Asset Management | 2003-04-01 | 2004-04-27 |
| AAY647 | CHUNG Chi Ming | 鍾志明 | RE | Dealing in Securities | 2018-04-24 | 2018-06-05 |
| AAY647 | CHUNG Chi Ming | 鍾志明 | RO | Dealing in Securities | 2018-06-05 | |
| AAY647 | CHUNG Chi Ming | 鍾志明 | RO | Advising on Securities | 2018-06-05 | |
| AAZ070 | LAI Wai Yi | 賴慧儀 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AAZ070 | LAI Wai Yi | 賴慧儀 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAZ070 | LAI Wai Yi | 賴慧儀 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AAZ070 | LAI Wai Yi | 賴慧儀 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AAZ070 | LAI Wai Yi | 賴慧儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AAZ070 | LAI Wai Yi | 賴慧儀 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| ABA528 | YUEN Peter Richard | 袁沛德 | RE | Dealing in Securities | 2003-09-19 | 2003-12-17 |
| ABD420 | KO Tai Fun | 高泰芬 | RE | Dealing in Securities | 2005-10-25 | 2010-06-12 |
| ABD420 | KO Tai Fun | 高泰芬 | RE | Dealing in Futures Contracts | 2005-10-28 | 2010-01-06 |
| ABD420 | KO Tai Fun | 高泰芬 | RE | Advising on Securities | 2005-10-25 | 2010-01-06 |
| ABD420 | KO Tai Fun | 高泰芬 | RE | Advising on Futures Contracts | 2005-10-28 | 2010-01-06 |
| ABE373 | YIM Kwok Wa, Eugene | 嚴國華 | RE | Dealing in Securities | 2003-04-01 | 2009-03-06 |
| ABE373 | YIM Kwok Wa, Eugene | 嚴國華 | RE | Dealing in Futures Contracts | 2005-09-30 | 2009-03-06 |
| ABE373 | YIM Kwok Wa, Eugene | 嚴國華 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ABE373 | YIM Kwok Wa, Eugene | 嚴國華 | RE | Advising on Futures Contracts | 2005-09-30 | 2009-03-06 |
| ABE373 | YIM Kwok Wa, Eugene | 嚴國華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ABE373 | YIM Kwok Wa, Eugene | 嚴國華 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ABF197 | LAM Chi Biu, Andrew | 林志標 | RE | Dealing in Securities | 2003-04-01 | 2005-10-25 |
| ABF197 | LAM Chi Biu, Andrew | 林志標 | RE | Dealing in Futures Contracts | 2005-09-30 | 2005-10-25 |
| ABF197 | LAM Chi Biu, Andrew | 林志標 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| ABF197 | LAM Chi Biu, Andrew | 林志標 | RE | Advising on Futures Contracts | 2005-09-30 | 2005-10-25 |
| ABF197 | LAM Chi Biu, Andrew | 林志標 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| ABF197 | LAM Chi Biu, Andrew | 林志標 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| ABL977 | SE Yung Yee, David Carven | 施勇儀 | RO | Dealing in Securities | 2003-04-01 | 2010-12-16 |
| ABL977 | SE Yung Yee, David Carven | 施勇儀 | RO | Dealing in Futures Contracts | 2005-09-22 | 2010-12-16 |
| ABL977 | SE Yung Yee, David Carven | 施勇儀 | RO | Advising on Securities | 2003-04-01 | 2010-12-16 |
| ABL977 | SE Yung Yee, David Carven | 施勇儀 | RO | Advising on Futures Contracts | 2005-09-22 | 2010-12-16 |
| ABL977 | SE Yung Yee, David Carven | 施勇儀 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-12-07 |
| ABL977 | SE Yung Yee, David Carven | 施勇儀 | RO | Asset Management | 2003-04-01 | 2010-12-16 |
| ABN304 | LEE Tak Hing | 李德興 | RE | Dealing in Securities | 2003-04-01 | 2005-01-04 |
| ABN304 | LEE Tak Hing | 李德興 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ABN304 | LEE Tak Hing | 李德興 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ABN304 | LEE Tak Hing | 李德興 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ABP527 | KWOK Tai Pang, Samson | 郭大鵬 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ABP527 | KWOK Tai Pang, Samson | 郭大鵬 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ABP527 | KWOK Tai Pang, Samson | 郭大鵬 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| ABP527 | KWOK Tai Pang, Samson | 郭大鵬 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ABP527 | KWOK Tai Pang, Samson | 郭大鵬 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| ABP527 | KWOK Tai Pang, Samson | 郭大鵬 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| ABP528 | SIU Wai Ching, Shirley | 蕭慧晶 | RE | Dealing in Securities | 2003-04-01 | 2003-11-07 |
| ABP528 | SIU Wai Ching, Shirley | 蕭慧晶 | RE | Advising on Securities | 2003-04-01 | 2003-11-07 |
| ABP528 | SIU Wai Ching, Shirley | 蕭慧晶 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-07 |
| ABP528 | SIU Wai Ching, Shirley | 蕭慧晶 | RE | Asset Management | 2003-04-01 | 2003-11-07 |
| ABT732 | YING Hok Kong, Tommy | 應鶴江 | RE | Dealing in Securities | 2003-04-01 | 2004-09-30 |
| ABT732 | YING Hok Kong, Tommy | 應鶴江 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ABT732 | YING Hok Kong, Tommy | 應鶴江 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ABT732 | YING Hok Kong, Tommy | 應鶴江 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ABY211 | WU Alan | 吳倫 | RE | Dealing in Securities | 2003-04-01 | 2003-08-01 |
| ABY211 | WU Alan | 吳倫 | RE | Advising on Securities | 2003-04-01 | 2003-08-01 |
| ABY211 | WU Alan | 吳倫 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-08-01 |
| ABY211 | WU Alan | 吳倫 | RE | Asset Management | 2003-04-01 | 2003-08-01 |
| ABZ884 | WONG Che Lik | 黃自力 | RE | Dealing in Securities | 2003-04-01 | 2003-06-28 |
| ABZ884 | WONG Che Lik | 黃自力 | RE | Advising on Securities | 2003-04-01 | 2003-06-28 |
| ABZ884 | WONG Che Lik | 黃自力 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-28 |
| ABZ884 | WONG Che Lik | 黃自力 | RE | Asset Management | 2003-04-01 | 2003-06-28 |
| ACB593 | HUI Kam Wing, Benjamin | 許鑑榮 | RE | Dealing in Securities | 2005-06-16 | 2009-05-16 |
| ACB593 | HUI Kam Wing, Benjamin | 許鑑榮 | RE | Dealing in Futures Contracts | 2005-09-30 | 2009-05-16 |
| ACB593 | HUI Kam Wing, Benjamin | 許鑑榮 | RE | Advising on Futures Contracts | 2005-09-30 | 2009-05-16 |
| ACB899 | CHU Kin Man | 朱建文 | RE | Dealing in Securities | 2003-04-01 | 2005-09-30 |
| ACB899 | CHU Kin Man | 朱建文 | RO | Dealing in Securities | 2005-09-30 | 2006-09-30 |
| ACB899 | CHU Kin Man | 朱建文 | RO | Dealing in Futures Contracts | 2005-10-06 | 2006-09-30 |
| ACB899 | CHU Kin Man | 朱建文 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ACB899 | CHU Kin Man | 朱建文 | RO | Advising on Securities | 2005-09-30 | 2006-09-30 |
| ACB899 | CHU Kin Man | 朱建文 | RO | Advising on Futures Contracts | 2005-10-06 | 2006-09-30 |
| ACB899 | CHU Kin Man | 朱建文 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ACB899 | CHU Kin Man | 朱建文 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ACB899 | CHU Kin Man | 朱建文 | RO | Asset Management | 2005-09-30 | 2006-05-30 |
| ACD665 | SIU Julie Wailing | 蕭偉玲 | RE | Dealing in Securities | 2003-04-01 | 2005-03-18 |
| ACD665 | SIU Julie Wailing | 蕭偉玲 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ACD665 | SIU Julie Wailing | 蕭偉玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ACD665 | SIU Julie Wailing | 蕭偉玲 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ACG603 | WONG Chi Kai | 黃志佳 | RE | Dealing in Securities | 2007-08-20 | 2007-11-20 |
| ACG770 | KONG Wing Yin, Emily | 江穎妍 | RE | Dealing in Securities | 2006-12-04 | 2010-11-20 |
| ACG770 | KONG Wing Yin, Emily | 江穎妍 | RE | Dealing in Futures Contracts | 2006-12-04 | 2010-11-20 |
| ACG770 | KONG Wing Yin, Emily | 江穎妍 | RE | Advising on Futures Contracts | 2007-01-19 | 2010-11-20 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Dealing in Securities | 2003-04-01 | 2003-04-04 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Dealing in Securities | 2008-04-17 | 2011-01-11 |
| ACI910 | LAM Yee Kwan | 林懿君 | RO | Dealing in Securities | 2011-01-11 | 2012-01-16 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Dealing in Futures Contracts | 2008-05-26 | 2011-01-11 |
| ACI910 | LAM Yee Kwan | 林懿君 | RO | Dealing in Futures Contracts | 2011-01-11 | 2012-01-16 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Advising on Securities | 2003-04-01 | 2003-04-04 |
| ACI910 | LAM Yee Kwan | 林懿君 | RO | Advising on Securities | 2011-01-11 | 2012-01-16 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Advising on Futures Contracts | 2008-05-26 | 2011-01-11 |
| ACI910 | LAM Yee Kwan | 林懿君 | RO | Advising on Futures Contracts | 2011-01-11 | 2012-01-16 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-04 |
| ACI910 | LAM Yee Kwan | 林懿君 | RE | Asset Management | 2003-04-01 | 2003-04-04 |
| ACL084 | CHAN Pak Ming, Nicholas | 陳百銘 | RE | Dealing in Securities | 2004-04-02 | 2006-06-22 |
| ACL084 | CHAN Pak Ming, Nicholas | 陳百銘 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-06-22 |
| ACL084 | CHAN Pak Ming, Nicholas | 陳百銘 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-06-22 |
| ACP246 | PUN Yin Man | 潘燕文 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ACP246 | PUN Yin Man | 潘燕文 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ACP246 | PUN Yin Man | 潘燕文 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ACP246 | PUN Yin Man | 潘燕文 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ACP246 | PUN Yin Man | 潘燕文 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ACP246 | PUN Yin Man | 潘燕文 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ACP792 | CHEONG Kin | 張健 | RE | Dealing in Securities | 2003-04-01 | 2005-04-12 |
| ACP792 | CHEONG Kin | 張健 | RE | Dealing in Securities | 2008-07-02 | 2010-10-31 |
| ACP792 | CHEONG Kin | 張健 | RE | Dealing in Futures Contracts | 2008-07-02 | 2010-10-31 |
| ACP792 | CHEONG Kin | 張健 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ACP792 | CHEONG Kin | 張健 | RE | Advising on Futures Contracts | 2008-07-22 | 2010-10-31 |
| ACP792 | CHEONG Kin | 張健 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ACP792 | CHEONG Kin | 張健 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ACQ609 | FONG Suet Chung | 方雪松 | RE | Dealing in Securities | 2003-04-01 | 2006-06-17 |
| ACQ609 | FONG Suet Chung | 方雪松 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-06-17 |
| ACQ609 | FONG Suet Chung | 方雪松 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ACQ609 | FONG Suet Chung | 方雪松 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-06-17 |
| ACQ609 | FONG Suet Chung | 方雪松 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ACQ609 | FONG Suet Chung | 方雪松 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ACQ914 | LAM Wai Kit | 林惠傑 | RO | Dealing in Securities | 2012-05-21 | 2018-12-08 |
| ACQ914 | LAM Wai Kit | 林惠傑 | RO | Advising on Securities | 2012-05-21 | 2018-12-08 |
| ACQ917 | SUN Wing Man, Doris | 辛頴敏 | RE | Dealing in Securities | 2006-09-13 | 2009-03-02 |
| ACQ917 | SUN Wing Man, Doris | 辛頴敏 | RE | Dealing in Futures Contracts | 2006-09-13 | 2009-03-02 |
| ACQ917 | SUN Wing Man, Doris | 辛頴敏 | RE | Advising on Futures Contracts | 2006-09-13 | 2009-03-02 |
| ACU275 | CHU Po Chuen | 朱寶全 | RE | Dealing in Securities | 2003-04-01 | 2011-01-30 |
| ACU275 | CHU Po Chuen | 朱寶全 | RE | Dealing in Futures Contracts | 2005-09-30 | 2011-01-30 |
| ACU275 | CHU Po Chuen | 朱寶全 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ACU275 | CHU Po Chuen | 朱寶全 | RE | Advising on Futures Contracts | 2005-09-30 | 2011-01-30 |
| ACU275 | CHU Po Chuen | 朱寶全 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ACU275 | CHU Po Chuen | 朱寶全 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ACU277 | CHENG Man, Carol | 鄭敏 | RE | Dealing in Securities | 2003-04-01 | 2004-03-01 |
| ACU277 | CHENG Man, Carol | 鄭敏 | RE | Advising on Securities | 2003-04-01 | 2004-03-01 |
| ACU277 | CHENG Man, Carol | 鄭敏 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-01 |
| ACU277 | CHENG Man, Carol | 鄭敏 | RE | Asset Management | 2003-04-01 | 2004-03-01 |
| ACU385 | WONG Suet Man | 王雪曼 | RE | Dealing in Securities | 2003-04-01 | 2007-01-18 |
| ACU385 | WONG Suet Man | 王雪曼 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-01-18 |
| ACU385 | WONG Suet Man | 王雪曼 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ACU385 | WONG Suet Man | 王雪曼 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-01-18 |
| ACU385 | WONG Suet Man | 王雪曼 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ACU385 | WONG Suet Man | 王雪曼 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ACU386 | LEE Yu Sang | 李裕生 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ACU386 | LEE Yu Sang | 李裕生 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ACU386 | LEE Yu Sang | 李裕生 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ACU386 | LEE Yu Sang | 李裕生 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ACU386 | LEE Yu Sang | 李裕生 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ACU386 | LEE Yu Sang | 李裕生 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ACU387 | SHAM Ping Chuen | 沈炳全 | RE | Dealing in Securities | 2003-04-01 | 2009-05-16 |
| ACU387 | SHAM Ping Chuen | 沈炳全 | RE | Dealing in Futures Contracts | 2005-09-30 | 2009-05-16 |
| ACU387 | SHAM Ping Chuen | 沈炳全 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ACU387 | SHAM Ping Chuen | 沈炳全 | RE | Advising on Futures Contracts | 2005-09-30 | 2009-05-16 |
| ACU387 | SHAM Ping Chuen | 沈炳全 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ACU387 | SHAM Ping Chuen | 沈炳全 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ACU650 | SHUM Ping Hung | 沈炳雄 | RE | Dealing in Securities | 2003-04-01 | 2011-01-30 |
| ACU650 | SHUM Ping Hung | 沈炳雄 | RE | Dealing in Futures Contracts | 2005-09-30 | 2011-01-30 |
| ACU650 | SHUM Ping Hung | 沈炳雄 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ACU650 | SHUM Ping Hung | 沈炳雄 | RE | Advising on Futures Contracts | 2005-09-30 | 2011-01-30 |
| ACU650 | SHUM Ping Hung | 沈炳雄 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ACU650 | SHUM Ping Hung | 沈炳雄 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ACU709 | KAM Man Sun | 金文新 | RE | Dealing in Securities | 2003-04-01 | 2005-01-04 |
| ACU709 | KAM Man Sun | 金文新 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ACU709 | KAM Man Sun | 金文新 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ACU709 | KAM Man Sun | 金文新 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ACU981 | CHAN Bun | 陳斌 | RE | Dealing in Securities | 2003-04-01 | 2004-02-29 |
| ACU981 | CHAN Bun | 陳斌 | RE | Advising on Securities | 2003-04-01 | 2004-02-29 |
| ACU981 | CHAN Bun | 陳斌 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-02-29 |
| ACU981 | CHAN Bun | 陳斌 | RE | Asset Management | 2003-04-01 | 2004-02-29 |
| ACX170 | MAK Mei Mei, Cilla | 麥美美 | RE | Dealing in Securities | 2003-04-01 | 2007-07-01 |
| ACX170 | MAK Mei Mei, Cilla | 麥美美 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-07-01 |
| ACX170 | MAK Mei Mei, Cilla | 麥美美 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ACX170 | MAK Mei Mei, Cilla | 麥美美 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-07-01 |
| ACX170 | MAK Mei Mei, Cilla | 麥美美 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ACX170 | MAK Mei Mei, Cilla | 麥美美 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Dealing in Securities | 2003-04-01 | 2003-07-18 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Dealing in Securities | 2004-05-13 | 2010-10-31 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Advising on Securities | 2003-04-01 | 2003-07-18 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-18 |
| ADA654 | YEUNG Chui Kwan | 楊翠群 | RE | Asset Management | 2003-04-01 | 2003-07-18 |
| ADA685 | LUI Yim Yin | 雷艷燕 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ADA685 | LUI Yim Yin | 雷艷燕 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA685 | LUI Yim Yin | 雷艷燕 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| ADA685 | LUI Yim Yin | 雷艷燕 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA685 | LUI Yim Yin | 雷艷燕 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| ADA685 | LUI Yim Yin | 雷艷燕 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| ADA744 | CHEUNG Yuk Ha, Annabella | 張玉霞 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ADA744 | CHEUNG Yuk Ha, Annabella | 張玉霞 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA744 | CHEUNG Yuk Ha, Annabella | 張玉霞 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| ADA744 | CHEUNG Yuk Ha, Annabella | 張玉霞 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA744 | CHEUNG Yuk Ha, Annabella | 張玉霞 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| ADA744 | CHEUNG Yuk Ha, Annabella | 張玉霞 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| ADA776 | CHEUNG Ngan Sui, Yvonne | 張銀瑞 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ADA776 | CHEUNG Ngan Sui, Yvonne | 張銀瑞 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA776 | CHEUNG Ngan Sui, Yvonne | 張銀瑞 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| ADA776 | CHEUNG Ngan Sui, Yvonne | 張銀瑞 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| ADA776 | CHEUNG Ngan Sui, Yvonne | 張銀瑞 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| ADA776 | CHEUNG Ngan Sui, Yvonne | 張銀瑞 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| ADE769 | YU Yuk Fan, David | 余毓繁 | RO | Asset Management | 2011-01-11 | 2011-06-14 |
| ADF885 | CHENG Ying Kam, Jeany | 莊英琴 | RE | Dealing in Securities | 2003-04-01 | 2004-06-17 |
| ADF885 | CHENG Ying Kam, Jeany | 莊英琴 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| ADF885 | CHENG Ying Kam, Jeany | 莊英琴 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| ADF885 | CHENG Ying Kam, Jeany | 莊英琴 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| ADH908 | LI Kam Ching, Derick | 李金錚 | RO | Dealing in Securities | 2005-09-27 | 2008-03-01 |
| ADH908 | LI Kam Ching, Derick | 李金錚 | RO | Dealing in Futures Contracts | 2005-10-05 | 2008-03-01 |
| ADH908 | LI Kam Ching, Derick | 李金錚 | RO | Advising on Securities | 2005-09-27 | 2008-03-01 |
| ADH908 | LI Kam Ching, Derick | 李金錚 | RO | Advising on Futures Contracts | 2005-10-05 | 2008-03-01 |
| ADH908 | LI Kam Ching, Derick | 李金錚 | RO | Asset Management | 2005-09-27 | 2008-03-01 |
| ADI990 | CHEUNG Kin Keung, Jocelyn | 張建強 | RE | Dealing in Securities | 2003-04-01 | 2003-07-26 |
| ADI990 | CHEUNG Kin Keung, Jocelyn | 張建強 | RE | Advising on Securities | 2003-04-01 | 2003-07-26 |
| ADI990 | CHEUNG Kin Keung, Jocelyn | 張建強 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-26 |
| ADI990 | CHEUNG Kin Keung, Jocelyn | 張建強 | RE | Asset Management | 2003-04-01 | 2003-07-26 |
| ADI991 | HUI Hong, Alen | 許航 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| ADI991 | HUI Hong, Alen | 許航 | RE | Dealing in Futures Contracts | 2005-10-04 | 2010-10-31 |
| ADI991 | HUI Hong, Alen | 許航 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| ADI991 | HUI Hong, Alen | 許航 | RE | Advising on Futures Contracts | 2005-10-04 | 2010-10-31 |
| ADI991 | HUI Hong, Alen | 許航 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| ADI991 | HUI Hong, Alen | 許航 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| ADJ382 | MACDONALD Alexander Booth | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 | |
| ADJ382 | MACDONALD Alexander Booth | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 | |
| ADJ382 | MACDONALD Alexander Booth | RE | Advising on Securities | 2003-04-01 | 2004-05-14 | |
| ADJ382 | MACDONALD Alexander Booth | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 | |
| ADJ382 | MACDONALD Alexander Booth | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 | |
| ADJ382 | MACDONALD Alexander Booth | RE | Asset Management | 2003-04-01 | 2004-05-14 | |
| ADL208 | TING Sui Lin, Wanda | 丁瑞蓮 | RE | Dealing in Securities | 2003-04-01 | 2004-04-28 |
| ADL208 | TING Sui Lin, Wanda | 丁瑞蓮 | RE | Advising on Securities | 2003-04-01 | 2004-04-27 |
| ADL208 | TING Sui Lin, Wanda | 丁瑞蓮 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-27 |
| ADL208 | TING Sui Lin, Wanda | 丁瑞蓮 | RE | Asset Management | 2003-04-01 | 2004-04-27 |
| ADN974 | AU Wing Ting | 歐永定 | RE | Dealing in Securities | 2003-04-01 | 2006-06-17 |
| ADN974 | AU Wing Ting | 歐永定 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-06-17 |
| ADN974 | AU Wing Ting | 歐永定 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| ADN974 | AU Wing Ting | 歐永定 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-06-17 |
| ADN974 | AU Wing Ting | 歐永定 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| ADN974 | AU Wing Ting | 歐永定 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| ADQ868 | MIU Hung Lucy | 苗紅 | RE | Dealing in Securities | 2003-04-01 | 2003-05-16 |
| ADQ868 | MIU Hung Lucy | 苗紅 | RE | Advising on Securities | 2003-04-01 | 2003-05-16 |
| ADQ868 | MIU Hung Lucy | 苗紅 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-16 |
| ADQ868 | MIU Hung Lucy | 苗紅 | RE | Asset Management | 2003-04-01 | 2003-05-16 |
| ADS283 | HASAN Haroon | RE | Dealing in Securities | 2003-04-01 | 2003-06-28 | |
| ADS283 | HASAN Haroon | RE | Advising on Securities | 2003-04-01 | 2003-06-28 | |
| ADS283 | HASAN Haroon | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-28 | |
| ADS283 | HASAN Haroon | RE | Asset Management | 2003-04-01 | 2003-06-28 | |
| ADS532 | LEUNG Kam Pui | 梁錦培 | RE | Dealing in Securities | 2011-12-22 | 2017-07-01 |
| ADS532 | LEUNG Kam Pui | 梁錦培 | RE | Dealing in Futures Contracts | 2011-12-22 | 2012-06-27 |
| ADS532 | LEUNG Kam Pui | 梁錦培 | RE | Asset Management | 2011-12-22 | 2012-06-27 |
| ADT685 | CHEUNG Chun Ho | 張振豪 | RE | Dealing in Securities | 2003-04-01 | 2004-04-27 |
| ADT685 | CHEUNG Chun Ho | 張振豪 | RE | Advising on Securities | 2003-04-01 | 2004-04-27 |
| ADT685 | CHEUNG Chun Ho | 張振豪 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-27 |
| ADT685 | CHEUNG Chun Ho | 張振豪 | RE | Asset Management | 2003-04-01 | 2004-04-27 |
| ADU680 | YICK Wing Yuen, Kenneth | 易永源 | RE | Dealing in Securities | 2003-04-01 | 2005-02-24 |
| ADU680 | YICK Wing Yuen, Kenneth | 易永源 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| ADU680 | YICK Wing Yuen, Kenneth | 易永源 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| ADU680 | YICK Wing Yuen, Kenneth | 易永源 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| ADV811 | KUO Shu-Chuan | 郭淑娟 | RE | Dealing in Securities | 2003-04-01 | 2006-05-24 |
| ADV811 | KUO Shu-Chuan | 郭淑娟 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-05-24 |
| ADV811 | KUO Shu-Chuan | 郭淑娟 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| ADV811 | KUO Shu-Chuan | 郭淑娟 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-05-24 |
| ADV811 | KUO Shu-Chuan | 郭淑娟 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| ADV811 | KUO Shu-Chuan | 郭淑娟 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| ADW512 | LEE Steven Wai | 李威 | RE | Dealing in Securities | 2003-04-01 | 2004-03-13 |
| ADW512 | LEE Steven Wai | 李威 | RE | Advising on Securities | 2003-04-01 | 2004-03-13 |
| ADW512 | LEE Steven Wai | 李威 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-13 |
| ADW512 | LEE Steven Wai | 李威 | RE | Asset Management | 2003-04-01 | 2004-03-13 |
| ADY271 | WONG Hang Nei, Grace | 王幸妮 | RE | Dealing in Securities | 2003-04-01 | 2003-05-31 |
| ADY271 | WONG Hang Nei, Grace | 王幸妮 | RE | Advising on Securities | 2003-04-01 | 2003-05-31 |
| ADY271 | WONG Hang Nei, Grace | 王幸妮 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-31 |
| ADY271 | WONG Hang Nei, Grace | 王幸妮 | RE | Asset Management | 2003-04-01 | 2003-05-31 |
| AEB576 | YAU Siu Ling | 邱少玲 | RE | Dealing in Securities | 2003-04-01 | 2003-07-04 |
| AEB576 | YAU Siu Ling | 邱少玲 | RE | Advising on Securities | 2003-04-01 | 2003-07-04 |
| AEB576 | YAU Siu Ling | 邱少玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-04 |
| AEB576 | YAU Siu Ling | 邱少玲 | RE | Asset Management | 2003-04-01 | 2003-07-04 |
| AED694 | WONG Yue Fat | 黃裕發 | RE | Dealing in Securities | 2003-04-01 | 2003-07-01 |
| AED694 | WONG Yue Fat | 黃裕發 | RE | Advising on Securities | 2003-04-01 | 2003-07-01 |
| AED694 | WONG Yue Fat | 黃裕發 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-01 |
| AED694 | WONG Yue Fat | 黃裕發 | RE | Asset Management | 2003-04-01 | 2003-07-01 |
| AED758 | KUEK Boon Kiat | 郭翹鋒 | RE | Dealing in Securities | 2004-04-15 | 2004-12-17 |
| AEE154 | CHANG Wen-ling | 張文玲 | RE | Dealing in Securities | 2003-04-01 | 2004-05-21 |
| AEE154 | CHANG Wen-ling | 張文玲 | RE | Advising on Securities | 2003-04-01 | 2004-04-27 |
| AEE154 | CHANG Wen-ling | 張文玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-10-15 |
| AEE154 | CHANG Wen-ling | 張文玲 | RE | Asset Management | 2003-04-01 | 2003-10-15 |
| AEE312 | CHIU Yiu Wing, Charles | 趙耀榮 | RE | Dealing in Securities | 2003-04-01 | 2004-11-05 |
| AEE312 | CHIU Yiu Wing, Charles | 趙耀榮 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| AEE312 | CHIU Yiu Wing, Charles | 趙耀榮 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| AEE312 | CHIU Yiu Wing, Charles | 趙耀榮 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| AEG134 | LAI Suet Fai | 賴雪暉 | RE | Dealing in Securities | 2003-04-01 | 2004-05-19 |
| AEG134 | LAI Suet Fai | 賴雪暉 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| AEG134 | LAI Suet Fai | 賴雪暉 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| AEG134 | LAI Suet Fai | 賴雪暉 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| AEH405 | LEE Ka Ki | 李家驥 | RE | Dealing in Securities | 2012-06-11 | 2018-01-08 |
| AEH550 | POON Che Ho | 潘志豪 | RE | Dealing in Securities | 2004-04-06 | 2005-01-25 |
| AEH584 | WONG Chi Hing | 黃紫卿 | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 |
| AEH584 | WONG Chi Hing | 黃紫卿 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AEH584 | WONG Chi Hing | 黃紫卿 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AEH584 | WONG Chi Hing | 黃紫卿 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AEH584 | WONG Chi Hing | 黃紫卿 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AEH584 | WONG Chi Hing | 黃紫卿 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AEH948 | LAU Ming Fai | 劉明暉 | RE | Dealing in Securities | 2005-01-28 | 2005-04-12 |
| AEK386 | KWONG Mei Fung | 鄺美鳳 | RE | Dealing in Securities | 2003-04-01 | 2004-04-27 |
| AEK386 | KWONG Mei Fung | 鄺美鳳 | RE | Advising on Securities | 2003-04-01 | 2004-04-27 |
| AEK386 | KWONG Mei Fung | 鄺美鳳 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-27 |
| AEK386 | KWONG Mei Fung | 鄺美鳳 | RE | Asset Management | 2003-04-01 | 2004-04-27 |
| AEN199 | CHOI Chun Wa | 蔡振華 | RE | Dealing in Securities | 2006-09-01 | 2007-01-19 |
| AEN199 | CHOI Chun Wa | 蔡振華 | RE | Dealing in Futures Contracts | 2006-09-01 | 2007-01-19 |
| AEN199 | CHOI Chun Wa | 蔡振華 | RE | Advising on Futures Contracts | 2006-09-07 | 2007-01-19 |
| AEO683 | LAM John Junior | 林慕賢 | RE | Dealing in Securities | 2003-04-01 | 2005-02-24 |
| AEO683 | LAM John Junior | 林慕賢 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AEO683 | LAM John Junior | 林慕賢 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AEO683 | LAM John Junior | 林慕賢 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AEO786 | KING John Moncure | RO | Dealing in Futures Contracts | 2008-12-10 | 2009-11-30 | |
| AER411 | CHAN Yat Wai | 陳一衛 | RE | Dealing in Securities | 2007-08-03 | 2011-01-30 |
| AER411 | CHAN Yat Wai | 陳一衛 | RE | Dealing in Futures Contracts | 2007-08-03 | 2011-01-30 |
| AER411 | CHAN Yat Wai | 陳一衛 | RE | Advising on Futures Contracts | 2007-08-03 | 2011-01-30 |
| AES117 | MA Johnny Bun Wah | 馬斌華 | RE | Dealing in Securities | 2003-09-24 | 2004-08-06 |
| AEU390 | LEUNG Luzviminda Cabanatan | RE | Dealing in Securities | 2003-04-01 | 2010-10-31 | |
| AEU390 | LEUNG Luzviminda Cabanatan | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 | |
| AEU390 | LEUNG Luzviminda Cabanatan | RE | Advising on Securities | 2003-04-01 | 2004-05-14 | |
| AEU390 | LEUNG Luzviminda Cabanatan | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 | |
| AEU390 | LEUNG Luzviminda Cabanatan | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 | |
| AEU390 | LEUNG Luzviminda Cabanatan | RE | Asset Management | 2003-04-01 | 2004-05-14 | |
| AEU885 | KWAN Kin Wai Titanic | 關堅偉 | RE | Dealing in Securities | 2003-04-01 | 2003-08-14 |
| AEU885 | KWAN Kin Wai Titanic | 關堅偉 | RE | Advising on Securities | 2003-04-01 | 2003-08-14 |
| AEU885 | KWAN Kin Wai Titanic | 關堅偉 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-08-14 |
| AEU885 | KWAN Kin Wai Titanic | 關堅偉 | RE | Asset Management | 2003-04-01 | 2003-08-14 |
| AEX135 | FUNG Siu Ping | 馮小平 | RE | Dealing in Securities | 2003-04-01 | 2003-09-19 |
| AEX135 | FUNG Siu Ping | 馮小平 | RE | Advising on Securities | 2003-04-01 | 2003-09-19 |
| AEX135 | FUNG Siu Ping | 馮小平 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-19 |
| AEX135 | FUNG Siu Ping | 馮小平 | RE | Asset Management | 2003-04-01 | 2003-09-19 |
| AFE413 | CHUNG Kwai Kuen | 鍾桂娟 | RE | Dealing in Securities | 2003-04-01 | 2009-05-16 |
| AFE413 | CHUNG Kwai Kuen | 鍾桂娟 | RE | Dealing in Futures Contracts | 2005-09-30 | 2009-05-16 |
| AFE413 | CHUNG Kwai Kuen | 鍾桂娟 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| AFE413 | CHUNG Kwai Kuen | 鍾桂娟 | RE | Advising on Futures Contracts | 2005-09-30 | 2009-05-16 |
| AFE413 | CHUNG Kwai Kuen | 鍾桂娟 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| AFE413 | CHUNG Kwai Kuen | 鍾桂娟 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Dealing in Securities | 2003-04-01 | 2005-05-22 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Dealing in Securities | 2007-04-02 | 2007-11-29 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Dealing in Futures Contracts | 2007-04-02 | 2007-11-29 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Advising on Futures Contracts | 2007-04-02 | 2007-11-29 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AFE620 | NGAI So Ling, Angela | 倪素玲 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AFF107 | NG Ngai Wai | 吳毅慧 | RE | Dealing in Securities | 2005-03-16 | 2006-06-14 |
| AFF107 | NG Ngai Wai | 吳毅慧 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-06-14 |
| AFF107 | NG Ngai Wai | 吳毅慧 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-06-14 |
| AFG401 | CHEUNG Moon Fuk | 張滿福 | RE | Dealing in Securities | 2003-04-01 | 2007-02-17 |
| AFG401 | CHEUNG Moon Fuk | 張滿福 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-02-17 |
| AFG401 | CHEUNG Moon Fuk | 張滿福 | RE | Advising on Securities | 2003-04-01 | 2004-05-15 |
| AFG401 | CHEUNG Moon Fuk | 張滿福 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-02-17 |
| AFG401 | CHEUNG Moon Fuk | 張滿福 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-15 |
| AFG401 | CHEUNG Moon Fuk | 張滿福 | RE | Asset Management | 2003-04-01 | 2004-05-15 |
| AFH258 | YIP So Ling | 葉素玲 | RE | Dealing in Securities | 2004-03-25 | 2010-10-31 |
| AFH258 | YIP So Ling | 葉素玲 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-10-31 |
| AFH258 | YIP So Ling | 葉素玲 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-10-31 |
| AFL246 | YIP Ying Chi, Benjamin | 葉熒志 | RE | Dealing in Securities | 2003-04-01 | 2004-04-28 |
| AFL246 | YIP Ying Chi, Benjamin | 葉熒志 | RE | Advising on Securities | 2003-04-01 | 2004-04-26 |
| AFL246 | YIP Ying Chi, Benjamin | 葉熒志 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-04-26 |
| AFL246 | YIP Ying Chi, Benjamin | 葉熒志 | RE | Asset Management | 2003-04-01 | 2004-04-26 |
| AFL872 | YEUNG Tung | 楊棟 | RE | Dealing in Securities | 2007-09-24 | 2009-05-19 |
| AFL872 | YEUNG Tung | 楊棟 | RE | Dealing in Futures Contracts | 2007-10-27 | 2009-05-19 |
| AFL872 | YEUNG Tung | 楊棟 | RE | Advising on Futures Contracts | 2007-10-27 | 2009-05-19 |
| AFO512 | KWAN Ka Man | 關嘉敏 | RE | Dealing in Securities | 2005-05-31 | 2010-06-01 |
| AFO512 | KWAN Ka Man | 關嘉敏 | RE | Dealing in Futures Contracts | 2005-09-30 | 2010-06-01 |
| AFO512 | KWAN Ka Man | 關嘉敏 | RE | Advising on Futures Contracts | 2005-09-30 | 2010-06-01 |
| AFP785 | MOON Ji Ho | RE | Dealing in Securities | 2004-12-21 | 2005-04-28 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Dealing in Securities | 2003-04-01 | 2005-07-11 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Dealing in Securities | 2006-01-20 | 2011-01-01 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Dealing in Futures Contracts | 2006-01-20 | 2011-01-01 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Advising on Securities | 2003-04-01 | 2004-05-18 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Advising on Futures Contracts | 2006-01-25 | 2011-01-01 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 | |
| AFR176 | NOCHE Leo Cyril D. | RE | Asset Management | 2003-04-01 | 2004-05-18 | |
| AFR205 | KWOK Yui Kwong | 郭銳光 | RE | Dealing in Securities | 2006-06-22 | 2010-02-04 |
| AFR205 | KWOK Yui Kwong | 郭銳光 | RE | Dealing in Futures Contracts | 2009-06-19 | 2010-02-04 |
| AFR205 | KWOK Yui Kwong | 郭銳光 | RE | Advising on Futures Contracts | 2009-06-19 | 2010-02-04 |
| AFT307 | TSUI Shu Hang, Edwin | 徐樹恆 | RE | Dealing in Securities | 2007-01-03 | 2007-12-30 |
| AFT307 | TSUI Shu Hang, Edwin | 徐樹恆 | RE | Dealing in Futures Contracts | 2007-01-03 | 2007-12-30 |
| AFT307 | TSUI Shu Hang, Edwin | 徐樹恆 | RE | Advising on Futures Contracts | 2007-01-03 | 2007-12-30 |
| AFT404 | LO Wai Tak, Michael | 盧韋德 | RE | Dealing in Securities | 2003-06-25 | 2006-04-20 |
| AFT404 | LO Wai Tak, Michael | 盧韋德 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-04-20 |
| AFT404 | LO Wai Tak, Michael | 盧韋德 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-04-20 |
| AFT458 | CHAN Ying Kit | 陳英傑 | RE | Dealing in Securities | 2004-03-24 | 2004-08-02 |
| AGA667 | LEUNG On Ki, Angel | 梁安琪 | RE | Dealing in Securities | 2007-06-28 | 2008-04-29 |
| AGB128 | YONG Pang Teck | 楊邦德 | RE | Dealing in Securities | 2006-03-17 | 2008-03-26 |
| AGB128 | YONG Pang Teck | 楊邦德 | RE | Dealing in Futures Contracts | 2006-03-29 | 2008-03-26 |
| AGB128 | YONG Pang Teck | 楊邦德 | RE | Advising on Securities | 2006-03-29 | 2008-03-26 |
| AGB128 | YONG Pang Teck | 楊邦德 | RE | Advising on Futures Contracts | 2006-03-29 | 2008-03-26 |
| AGB128 | YONG Pang Teck | 楊邦德 | RE | Asset Management | 2006-03-29 | 2008-03-26 |
| AGB356 | HO Shuk Man, Gale | 何淑文 | RE | Dealing in Securities | 2003-04-01 | 2006-10-14 |
| AGB356 | HO Shuk Man, Gale | 何淑文 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-10-14 |
| AGB356 | HO Shuk Man, Gale | 何淑文 | RE | Advising on Securities | 2003-04-01 | 2004-05-14 |
| AGB356 | HO Shuk Man, Gale | 何淑文 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-10-14 |
| AGB356 | HO Shuk Man, Gale | 何淑文 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-14 |
| AGB356 | HO Shuk Man, Gale | 何淑文 | RE | Asset Management | 2003-04-01 | 2004-05-14 |
| AGB686 | MAN Kon Kuen, Martin | 文幹權 | RE | Dealing in Securities | 2004-04-06 | 2005-01-25 |
| AGC274 | LI Chi Chung, Ringo | 李自忠 | RE | Dealing in Securities | 2003-04-01 | 2003-12-11 |
| AGC274 | LI Chi Chung, Ringo | 李自忠 | RE | Advising on Securities | 2003-04-01 | 2003-12-11 |
| AGC274 | LI Chi Chung, Ringo | 李自忠 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-11 |
| AGC274 | LI Chi Chung, Ringo | 李自忠 | RE | Asset Management | 2003-04-01 | 2003-12-11 |
| AGG710 | LIU Peter Edward | 劉道生 | RO | Dealing in Securities | 2005-04-12 | 2006-02-06 |
| AGG710 | LIU Peter Edward | 劉道生 | RO | Dealing in Futures Contracts | 2005-09-22 | 2006-02-06 |
| AGG710 | LIU Peter Edward | 劉道生 | RO | Advising on Securities | 2005-04-12 | 2006-02-06 |
| AGG710 | LIU Peter Edward | 劉道生 | RO | Advising on Futures Contracts | 2005-09-22 | 2006-02-06 |
| AGG710 | LIU Peter Edward | 劉道生 | RO | Asset Management | 2005-04-12 | 2006-02-06 |
| AGI188 | LAU Tat Keung | 劉達強 | RE | Dealing in Securities | 2004-05-03 | 2004-05-11 |
| AGI704 | KO Chi Yiu | 高志堯 | RE | Dealing in Securities | 2003-04-01 | 2004-07-09 |
| AGI704 | KO Chi Yiu | 高志堯 | RE | Advising on Securities | 2003-04-01 | 2004-05-18 |
| AGI704 | KO Chi Yiu | 高志堯 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-18 |
| AGI704 | KO Chi Yiu | 高志堯 | RE | Asset Management | 2003-04-01 | 2004-05-18 |
| AGK057 | ROMMEL-SUTTER Rainer Wolfgang | RE | Dealing in Securities | 2003-04-01 | 2003-07-19 | |
| AGK057 | ROMMEL-SUTTER Rainer Wolfgang | RE | Advising on Securities | 2003-04-01 | 2003-07-19 | |
| AGK057 | ROMMEL-SUTTER Rainer Wolfgang | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-19 | |
| AGK057 | ROMMEL-SUTTER Rainer Wolfgang | RE | Asset Management | 2003-04-01 | 2003-07-19 | |
| AGM990 | BOOKER Willie | RE | Dealing in Securities | 2004-12-14 | 2005-12-10 | |
| AGM990 | BOOKER Willie | RE | Dealing in Futures Contracts | 2005-09-30 | 2005-12-10 | |
| AGM990 | BOOKER Willie | RE | Advising on Futures Contracts | 2005-09-30 | 2005-12-10 | |
| AGP095 | TAM Wey Lung | 譚維龍 | RE | Dealing in Securities | 2004-04-30 | 2006-06-17 |
| AGP095 | TAM Wey Lung | 譚維龍 | RE | Dealing in Futures Contracts | 2005-10-25 | 2006-06-17 |
| AGP095 | TAM Wey Lung | 譚維龍 | RE | Advising on Futures Contracts | 2005-10-25 | 2006-06-17 |
| AHF354 | ORR Joseph Wai Shing | 柯偉聲 | RE | Dealing in Securities | 2011-09-05 | 2012-06-27 |
| AHF354 | ORR Joseph Wai Shing | 柯偉聲 | RE | Dealing in Futures Contracts | 2011-09-05 | 2012-06-27 |
| AHF354 | ORR Joseph Wai Shing | 柯偉聲 | RE | Advising on Securities | 2011-09-05 | 2012-06-27 |
| AHF354 | ORR Joseph Wai Shing | 柯偉聲 | RE | Advising on Futures Contracts | 2011-09-05 | 2012-06-27 |
| AHF354 | ORR Joseph Wai Shing | 柯偉聲 | RE | Asset Management | 2011-09-05 | 2012-06-27 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Dealing in Securities | 2003-04-01 | 2005-11-01 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Dealing in Securities | 2006-02-20 | 2008-10-29 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Dealing in Futures Contracts | 2005-09-30 | 2005-11-01 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Dealing in Futures Contracts | 2006-02-20 | 2008-10-29 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Advising on Futures Contracts | 2005-09-30 | 2005-11-01 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Advising on Futures Contracts | 2006-02-20 | 2008-10-29 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AHJ432 | CHEN Ying Yu | 陳英裕 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AHS842 | CHAN Yuen Bing | 陳婉冰 | RE | Dealing in Securities | 2003-04-01 | 2006-05-27 |
| AHS842 | CHAN Yuen Bing | 陳婉冰 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-05-27 |
| AHS842 | CHAN Yuen Bing | 陳婉冰 | RE | Advising on Securities | 2003-04-01 | 2004-05-17 |
| AHS842 | CHAN Yuen Bing | 陳婉冰 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-05-27 |
| AHS842 | CHAN Yuen Bing | 陳婉冰 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-17 |
| AHS842 | CHAN Yuen Bing | 陳婉冰 | RE | Asset Management | 2003-04-01 | 2004-05-17 |
| AHT185 | FAN Chi Wah | 范志華 | RE | Dealing in Securities | 2004-11-18 | 2005-04-12 |
| AHX971 | FENNELL Thomas Brian | RO | Dealing in Securities | 2003-09-29 | 2005-01-06 | |
| AIB065 | LI Jin Hua | 李晉華 | RE | Dealing in Securities | 2004-08-23 | 2005-06-29 |
| AIC797 | POON Philip Chung Hein | 潘頌軒 | RE | Dealing in Securities | 2003-04-01 | 2004-03-09 |
| AIC797 | POON Philip Chung Hein | 潘頌軒 | RE | Advising on Securities | 2003-04-01 | 2004-03-09 |
| AIC797 | POON Philip Chung Hein | 潘頌軒 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-09 |
| AIC797 | POON Philip Chung Hein | 潘頌軒 | RE | Asset Management | 2003-04-01 | 2004-03-09 |
| AID055 | CHUI Lei Sze, Lizzy Lolita | 徐莉詩 | RE | Dealing in Securities | 2004-08-25 | 2005-05-20 |
| AIH727 | SATO Toshihisa | 佐藤敏久 | RE | Dealing in Futures Contracts | 2008-12-10 | 2010-04-23 |
| AIL022 | SO Ming Yuk | 蘇明玉 | RE | Dealing in Securities | 2003-04-01 | 2003-04-10 |
| AIL022 | SO Ming Yuk | 蘇明玉 | RE | Advising on Securities | 2003-04-01 | 2003-04-10 |
| AIL022 | SO Ming Yuk | 蘇明玉 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-10 |
| AIL022 | SO Ming Yuk | 蘇明玉 | RE | Asset Management | 2003-04-01 | 2003-04-10 |
| AIR783 | TSAI Hui-Fang | 蔡慧芳 | RE | Dealing in Securities | 2003-06-03 | 2006-07-01 |
| AIR783 | TSAI Hui-Fang | 蔡慧芳 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-07-01 |
| AIR783 | TSAI Hui-Fang | 蔡慧芳 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-07-01 |
| AIU332 | BILAVINAKATH Salim Jouhar | RE | Dealing in Securities | 2003-06-07 | 2009-05-27 | |
| AIU332 | BILAVINAKATH Salim Jouhar | RE | Dealing in Futures Contracts | 2005-09-30 | 2009-05-27 | |
| AIU332 | BILAVINAKATH Salim Jouhar | RE | Advising on Futures Contracts | 2005-09-30 | 2009-05-27 | |
| AJB813 | CAMPBELL Matthew James | RE | Dealing in Futures Contracts | 2008-12-10 | 2010-04-23 | |
| AJE091 | LU Min | RE | Dealing in Securities | 2003-09-18 | 2004-08-26 | |
| AJE094 | KAO Margaret Chien Mei Hsu | 高徐千媄 | RE | Dealing in Securities | 2003-09-18 | 2004-07-04 |
| AJE094 | KAO Margaret Chien Mei Hsu | 高徐千媄 | RE | Dealing in Securities | 2005-01-20 | 2005-04-14 |
| AJE237 | SO Ka Him | 蘇家謙 | RE | Dealing in Securities | 2006-10-24 | 2010-08-30 |
| AJE237 | SO Ka Him | 蘇家謙 | RE | Dealing in Futures Contracts | 2006-10-24 | 2010-08-30 |
| AJE237 | SO Ka Him | 蘇家謙 | RE | Advising on Futures Contracts | 2006-10-24 | 2010-08-30 |
| AJE845 | YEUNG Pok Man, Harvey | 楊博文 | RE | Dealing in Securities | 2005-11-08 | 2010-10-31 |
| AJE845 | YEUNG Pok Man, Harvey | 楊博文 | RE | Dealing in Futures Contracts | 2005-11-08 | 2010-10-31 |
| AJE845 | YEUNG Pok Man, Harvey | 楊博文 | RE | Advising on Futures Contracts | 2005-11-10 | 2010-10-31 |
| AJH301 | CHONG Wah Yeung | 莊華揚 | RE | Dealing in Securities | 2007-03-15 | 2007-11-10 |
| AJH301 | CHONG Wah Yeung | 莊華揚 | RE | Dealing in Futures Contracts | 2007-03-15 | 2007-11-10 |
| AJH301 | CHONG Wah Yeung | 莊華揚 | RE | Advising on Futures Contracts | 2007-03-15 | 2007-11-10 |
| AJL225 | LAU Ka Po | 劉嘉寶 | RO | Dealing in Futures Contracts | 2008-12-10 | 2010-04-26 |
| AJL366 | HO Hon Kam | 何漢錦 | RE | Dealing in Securities | 2004-04-22 | 2004-05-21 |
| AJN226 | AU Yin Ki | 區嫣琪 | RE | Dealing in Securities | 2004-05-10 | 2005-04-18 |
| AJO210 | LEUNG Tung Ha | 梁冬夏 | RE | Dealing in Securities | 2004-03-24 | 2005-05-26 |
| AKW616 | CHAN Ka Wing, Karen | 陳嘉穎 | RE | Dealing in Securities | 2004-06-30 | 2004-12-20 |
| AKW735 | CHAN Sai Ko, Timothy | 陳世浩 | RE | Dealing in Securities | 2008-01-11 | 2010-09-30 |
| AKW735 | CHAN Sai Ko, Timothy | 陳世浩 | RE | Dealing in Futures Contracts | 2008-01-11 | 2010-09-30 |
| AKW735 | CHAN Sai Ko, Timothy | 陳世浩 | RE | Advising on Futures Contracts | 2008-01-11 | 2010-09-30 |
| ALP975 | KOH Hon Tat, Ushe | RE | Dealing in Securities | 2005-01-08 | 2005-07-22 | |
| ALP976 | TSO William Yuen Leung | 左元良 | RE | Dealing in Securities | 2005-01-10 | 2005-12-15 |
| ALP976 | TSO William Yuen Leung | 左元良 | RE | Dealing in Futures Contracts | 2005-09-30 | 2005-12-15 |
| ALP976 | TSO William Yuen Leung | 左元良 | RE | Advising on Futures Contracts | 2005-09-30 | 2005-12-15 |
| ALQ874 | MISRA Abhilasha | RE | Dealing in Securities | 2005-01-26 | 2005-09-05 | |
| ALR588 | OVERDIJK Harmen Christiaan | RE | Dealing in Securities | 2006-12-04 | 2008-07-01 | |
| ALR588 | OVERDIJK Harmen Christiaan | RE | Dealing in Futures Contracts | 2006-12-04 | 2008-07-01 | |
| ALR588 | OVERDIJK Harmen Christiaan | RE | Advising on Futures Contracts | 2006-12-04 | 2008-07-01 | |
| ALS374 | HUI Wai Kong | 許偉剛 | RE | Dealing in Securities | 2008-12-11 | 2010-10-31 |
| ALS374 | HUI Wai Kong | 許偉剛 | RE | Dealing in Futures Contracts | 2008-12-11 | 2010-10-31 |
| ALS374 | HUI Wai Kong | 許偉剛 | RE | Advising on Futures Contracts | 2009-01-02 | 2010-10-31 |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2005-02-22 | 2005-03-22 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2005-11-28 | 2005-12-28 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2006-03-14 | 2006-04-13 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2006-09-26 | 2006-10-25 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2007-03-06 | 2007-04-05 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2007-10-04 | 2007-11-04 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Securities | 2008-04-07 | 2008-05-07 | |
| ALS754 | NESBITT Paul John Russell | RE | Advising on Futures Contracts | 2007-03-06 | 2007-04-05 | |
| ALS756 | CHILDS Curtis Malcolm | RE | Advising on Securities | 2005-02-22 | 2005-03-22 | |
| ALW550 | AU Tak Yin, Christine | 區德妍 | RE | Dealing in Securities | 2005-04-13 | 2005-05-20 |
| ALZ685 | CHENG Kenneth | 鄭甘霖 | RE | Dealing in Securities | 2005-11-17 | 2006-09-25 |
| ALZ685 | CHENG Kenneth | 鄭甘霖 | RE | Dealing in Securities | 2006-10-31 | 2007-07-07 |
| ALZ685 | CHENG Kenneth | 鄭甘霖 | RE | Dealing in Futures Contracts | 2005-12-09 | 2006-09-25 |
| ALZ685 | CHENG Kenneth | 鄭甘霖 | RE | Dealing in Futures Contracts | 2006-10-31 | 2007-07-07 |
| ALZ685 | CHENG Kenneth | 鄭甘霖 | RE | Advising on Futures Contracts | 2005-12-09 | 2006-09-25 |
| ALZ685 | CHENG Kenneth | 鄭甘霖 | RE | Advising on Futures Contracts | 2006-10-31 | 2007-07-07 |
| AMB136 | SAW Aileen Mei Li | 蘇梅麗 | RE | Dealing in Securities | 2005-06-01 | 2006-07-04 |
| AMB136 | SAW Aileen Mei Li | 蘇梅麗 | RE | Dealing in Futures Contracts | 2005-09-30 | 2006-07-04 |
| AMB136 | SAW Aileen Mei Li | 蘇梅麗 | RE | Advising on Futures Contracts | 2005-09-30 | 2006-07-04 |
| AMC670 | LAM Kin Man | 林健文 | RE | Dealing in Securities | 2008-08-12 | 2010-10-31 |
| AMC670 | LAM Kin Man | 林健文 | RE | Dealing in Futures Contracts | 2008-08-12 | 2010-10-31 |
| AMC670 | LAM Kin Man | 林健文 | RE | Advising on Futures Contracts | 2008-08-12 | 2010-10-31 |
| AMI261 | LAM Chi Man | 林志文 | RE | Dealing in Securities | 2005-09-08 | 2012-04-27 |
| AMI286 | YEUNG Pak Ming | 楊北銘 | RE | Dealing in Securities | 2005-09-08 | 2012-04-27 |
| AMI286 | YEUNG Pak Ming | 楊北銘 | RE | Dealing in Futures Contracts | 2005-10-25 | 2012-04-27 |
| AMI286 | YEUNG Pak Ming | 楊北銘 | RE | Advising on Futures Contracts | 2005-10-25 | 2012-04-27 |
| AMJ012 | LAM Pui Ming, Ava | 林佩明 | RE | Dealing in Securities | 2005-08-31 | 2007-06-16 |
| AMJ012 | LAM Pui Ming, Ava | 林佩明 | RE | Dealing in Futures Contracts | 2005-09-30 | 2007-06-16 |
| AMJ012 | LAM Pui Ming, Ava | 林佩明 | RE | Advising on Futures Contracts | 2005-09-30 | 2007-06-16 |
| AMK402 | YIM Heung To | 嚴香桃 | RE | Dealing in Securities | 2006-09-13 | 2010-06-29 |
| AMK402 | YIM Heung To | 嚴香桃 | RE | Dealing in Futures Contracts | 2006-09-13 | 2010-06-29 |
| AMK402 | YIM Heung To | 嚴香桃 | RE | Advising on Futures Contracts | 2006-09-15 | 2010-06-29 |
| AML433 | TSA Tsz Fo, Brian | 謝子科 | RE | Dealing in Securities | 2005-10-14 | 2006-01-01 |
| AML433 | TSA Tsz Fo, Brian | 謝子科 | RE | Dealing in Futures Contracts | 2005-10-14 | 2006-01-01 |
| AML433 | TSA Tsz Fo, Brian | 謝子科 | RE | Advising on Futures Contracts | 2005-10-25 | 2006-01-01 |
| AMM129 | HO Ka Yin, Karen | 何家賢 | RE | Dealing in Securities | 2006-11-16 | 2008-04-19 |
| AMM129 | HO Ka Yin, Karen | 何家賢 | RE | Dealing in Futures Contracts | 2006-11-16 | 2008-04-19 |
| AMM129 | HO Ka Yin, Karen | 何家賢 | RE | Advising on Futures Contracts | 2006-11-16 | 2008-04-19 |
| AMQ714 | WU Jung-hsin | 吳榮欣 | RE | Dealing in Securities | 2005-11-01 | 2006-06-17 |
| AMQ714 | WU Jung-hsin | 吳榮欣 | RE | Dealing in Futures Contracts | 2005-11-01 | 2006-06-17 |
| AMQ717 | CHENG Shih-jen | 鄭世仁 | RE | Dealing in Securities | 2005-11-01 | 2010-10-31 |
| AMQ717 | CHENG Shih-jen | 鄭世仁 | RE | Dealing in Futures Contracts | 2005-11-01 | 2010-10-31 |
| AMQ815 | CHEN Chieh-kuo | 陳介國 | RE | Dealing in Securities | 2005-11-02 | 2006-06-17 |
| AMQ815 | CHEN Chieh-kuo | 陳介國 | RE | Dealing in Securities | 2006-10-13 | 2009-03-06 |
| AMQ815 | CHEN Chieh-kuo | 陳介國 | RE | Dealing in Futures Contracts | 2005-11-02 | 2006-06-17 |
| AMQ815 | CHEN Chieh-kuo | 陳介國 | RE | Dealing in Futures Contracts | 2006-10-13 | 2009-03-06 |
| AMQ815 | CHEN Chieh-kuo | 陳介國 | RE | Advising on Futures Contracts | 2006-10-13 | 2009-03-06 |
| AMQ853 | HUNG Yi-chu | 洪翊筑 | RE | Dealing in Securities | 2005-11-01 | 2006-06-17 |
| AMQ853 | HUNG Yi-chu | 洪翊筑 | RE | Dealing in Futures Contracts | 2005-11-01 | 2006-06-17 |
| AMS463 | CHENG Man Yiu | 鄭文耀 | RE | Dealing in Securities | 2006-06-28 | 2006-07-22 |
| AMS463 | CHENG Man Yiu | 鄭文耀 | RE | Dealing in Futures Contracts | 2006-06-28 | 2006-07-22 |
| AMS463 | CHENG Man Yiu | 鄭文耀 | RE | Advising on Futures Contracts | 2006-06-28 | 2006-07-22 |
| ANF196 | WONG Tsui Chi, Twiggy | 黃翠芝 | RE | Dealing in Securities | 2007-11-16 | 2010-10-31 |
| ANF196 | WONG Tsui Chi, Twiggy | 黃翠芝 | RE | Dealing in Futures Contracts | 2008-05-30 | 2010-10-31 |
| ANF196 | WONG Tsui Chi, Twiggy | 黃翠芝 | RE | Advising on Futures Contracts | 2008-05-30 | 2010-10-31 |
| ANH344 | TIN Yuk | 田旭 | RE | Dealing in Securities | 2006-09-26 | 2009-01-19 |
| ANH344 | TIN Yuk | 田旭 | RE | Dealing in Futures Contracts | 2006-09-26 | 2009-01-19 |
| ANH344 | TIN Yuk | 田旭 | RE | Advising on Futures Contracts | 2006-09-26 | 2009-01-19 |
| ANL068 | CHOR Chun Ming | 左峻銘 | RE | Dealing in Securities | 2006-12-21 | 2007-06-09 |
| ANL068 | CHOR Chun Ming | 左峻銘 | RE | Dealing in Futures Contracts | 2006-11-23 | 2007-06-09 |
| ANL068 | CHOR Chun Ming | 左峻銘 | RE | Advising on Futures Contracts | 2006-12-21 | 2007-06-09 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RE | Dealing in Securities | 2006-07-05 | 2011-01-06 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RO | Dealing in Securities | 2011-03-28 | 2012-06-27 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RE | Dealing in Futures Contracts | 2006-07-05 | 2011-01-06 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RO | Dealing in Futures Contracts | 2011-03-28 | 2012-06-27 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RE | Advising on Securities | 2006-07-05 | 2011-01-06 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RO | Advising on Securities | 2011-03-28 | 2012-06-27 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RE | Advising on Futures Contracts | 2006-07-05 | 2011-01-06 |
| ANL954 | CHONG Yu Keung | 莊儒強 | RO | Advising on Futures Contracts | 2011-03-28 | 2012-06-27 |
| ANN462 | LIN Sheng-fen | 林盛芬 | RE | Dealing in Securities | 2006-06-22 | 2007-06-25 |
| ANN462 | LIN Sheng-fen | 林盛芬 | RE | Dealing in Futures Contracts | 2006-06-22 | 2007-06-25 |
| ANN462 | LIN Sheng-fen | 林盛芬 | RE | Advising on Futures Contracts | 2006-06-22 | 2007-06-25 |
| ANN468 | TSAO Yu Lung | 曹郁龍 | RE | Dealing in Securities | 2006-06-22 | 2007-06-25 |
| ANN468 | TSAO Yu Lung | 曹郁龍 | RE | Dealing in Futures Contracts | 2006-06-22 | 2007-06-25 |
| ANN468 | TSAO Yu Lung | 曹郁龍 | RE | Advising on Futures Contracts | 2006-06-22 | 2007-06-25 |
| ANN471 | CHEN Jin-sen | 陳進盛 | RE | Dealing in Securities | 2006-06-21 | 2007-12-19 |
| ANN471 | CHEN Jin-sen | 陳進盛 | RE | Dealing in Futures Contracts | 2006-06-21 | 2007-12-19 |
| ANN471 | CHEN Jin-sen | 陳進盛 | RE | Advising on Futures Contracts | 2006-06-21 | 2007-12-19 |
| ANN473 | TANG Hui-yen | 唐惠燕 | RE | Dealing in Securities | 2006-06-22 | 2010-10-31 |
| ANN473 | TANG Hui-yen | 唐惠燕 | RE | Dealing in Futures Contracts | 2006-06-22 | 2010-10-31 |
| ANN473 | TANG Hui-yen | 唐惠燕 | RE | Advising on Futures Contracts | 2006-06-22 | 2010-10-31 |
| ANN475 | LIU Wan-jou | 劉宛柔 | RE | Dealing in Securities | 2006-06-22 | 2010-10-31 |
| ANN475 | LIU Wan-jou | 劉宛柔 | RE | Dealing in Futures Contracts | 2006-06-22 | 2010-10-31 |
| ANN475 | LIU Wan-jou | 劉宛柔 | RE | Advising on Futures Contracts | 2006-06-22 | 2010-10-31 |
| ANP295 | FAVRE Robin Georges Flavien | RE | Dealing in Securities | 2006-06-29 | 2006-09-29 | |
| ANP295 | FAVRE Robin Georges Flavien | RE | Dealing in Futures Contracts | 2006-06-29 | 2006-09-29 | |
| ANP486 | LI Po Yi | 李寶怡 | RE | Dealing in Securities | 2007-08-07 | 2007-10-13 |
| ANP486 | LI Po Yi | 李寶怡 | RE | Dealing in Futures Contracts | 2007-09-25 | 2007-10-13 |
| ANP486 | LI Po Yi | 李寶怡 | RE | Advising on Futures Contracts | 2007-09-25 | 2007-10-13 |
| ANP992 | WU Chiung-hua | 吳瓊華 | RE | Dealing in Securities | 2006-07-05 | 2009-01-29 |
| ANP992 | WU Chiung-hua | 吳瓊華 | RE | Dealing in Futures Contracts | 2006-07-05 | 2009-01-29 |
| ANP992 | WU Chiung-hua | 吳瓊華 | RE | Advising on Futures Contracts | 2006-07-05 | 2009-01-29 |
| ANP997 | CHANG Yung-yin | 張芸英 | RE | Dealing in Securities | 2006-07-05 | 2010-10-31 |
| ANP997 | CHANG Yung-yin | 張芸英 | RE | Dealing in Futures Contracts | 2006-07-05 | 2010-10-31 |
| ANP997 | CHANG Yung-yin | 張芸英 | RE | Advising on Futures Contracts | 2006-07-05 | 2010-10-31 |
| ANP999 | LIN Ya-ling | 林雅玲 | RE | Dealing in Securities | 2006-07-05 | 2010-10-31 |
| ANP999 | LIN Ya-ling | 林雅玲 | RE | Dealing in Futures Contracts | 2006-07-05 | 2010-10-31 |
| ANP999 | LIN Ya-ling | 林雅玲 | RE | Advising on Futures Contracts | 2006-07-05 | 2010-10-31 |
| ANQ004 | CHENG Ping-chuan | 鄭萍銓 | RE | Dealing in Securities | 2006-07-05 | 2007-02-16 |
| ANQ004 | CHENG Ping-chuan | 鄭萍銓 | RE | Dealing in Futures Contracts | 2006-07-05 | 2007-02-16 |
| ANQ004 | CHENG Ping-chuan | 鄭萍銓 | RE | Advising on Futures Contracts | 2006-07-05 | 2007-02-16 |
| ANQ005 | CHEN Tswei-may | 陳翠美 | RE | Dealing in Securities | 2006-07-05 | 2009-02-20 |
| ANQ005 | CHEN Tswei-may | 陳翠美 | RE | Dealing in Futures Contracts | 2006-07-05 | 2009-02-20 |
| ANQ005 | CHEN Tswei-may | 陳翠美 | RE | Advising on Futures Contracts | 2006-07-05 | 2009-02-20 |
| ANQ172 | LIN Chia-huei | 林嘉慧 | RE | Dealing in Securities | 2006-07-04 | 2007-08-24 |
| ANQ172 | LIN Chia-huei | 林嘉慧 | RE | Dealing in Futures Contracts | 2006-07-04 | 2007-08-24 |
| ANQ172 | LIN Chia-huei | 林嘉慧 | RE | Advising on Futures Contracts | 2006-07-04 | 2007-08-24 |
| ANQ246 | CHUANG Ya-lan | 莊雅蘭 | RE | Dealing in Securities | 2006-07-10 | 2010-10-31 |
| ANQ246 | CHUANG Ya-lan | 莊雅蘭 | RE | Dealing in Futures Contracts | 2006-07-10 | 2010-10-31 |
| ANQ246 | CHUANG Ya-lan | 莊雅蘭 | RE | Advising on Futures Contracts | 2006-07-10 | 2010-10-31 |
| ANT277 | CHANG Chi | 張驥 | RE | Dealing in Securities | 2006-08-03 | 2006-11-14 |
| ANT277 | CHANG Chi | 張驥 | RE | Dealing in Futures Contracts | 2006-08-03 | 2006-11-14 |
| ANT277 | CHANG Chi | 張驥 | RE | Advising on Futures Contracts | 2006-08-03 | 2006-11-14 |
| ANW849 | YU Chih-yi | 余志毅 | RE | Dealing in Securities | 2006-09-07 | 2007-12-28 |
| ANW849 | YU Chih-yi | 余志毅 | RE | Dealing in Futures Contracts | 2006-09-07 | 2007-12-28 |
| ANW849 | YU Chih-yi | 余志毅 | RE | Advising on Futures Contracts | 2006-09-07 | 2007-12-28 |
| ANY054 | LI Shuk Wa, Vivian | 李淑華 | RE | Dealing in Securities | 2006-09-13 | 2009-05-16 |
| ANY054 | LI Shuk Wa, Vivian | 李淑華 | RE | Dealing in Futures Contracts | 2006-09-13 | 2009-05-16 |
| ANY054 | LI Shuk Wa, Vivian | 李淑華 | RE | Advising on Futures Contracts | 2006-09-13 | 2009-05-16 |
| ANY057 | LAW Kin Wah, Kenneth | 羅建華 | RE | Dealing in Securities | 2006-09-14 | 2009-02-12 |
| ANY057 | LAW Kin Wah, Kenneth | 羅建華 | RE | Dealing in Futures Contracts | 2006-09-14 | 2009-02-12 |
| ANY057 | LAW Kin Wah, Kenneth | 羅建華 | RE | Advising on Futures Contracts | 2006-09-14 | 2009-02-12 |
| ANY064 | TSANG Pui Fan, Karen | 曾佩芬 | RE | Dealing in Securities | 2006-09-13 | 2010-06-12 |
| ANY064 | TSANG Pui Fan, Karen | 曾佩芬 | RE | Dealing in Futures Contracts | 2006-09-13 | 2010-01-06 |
| ANY064 | TSANG Pui Fan, Karen | 曾佩芬 | RE | Advising on Futures Contracts | 2006-09-13 | 2010-01-06 |
| ANY108 | LIU Sit Lun | 廖薛倫 | RE | Dealing in Securities | 2006-09-13 | 2009-02-01 |
| ANY108 | LIU Sit Lun | 廖薛倫 | RE | Dealing in Futures Contracts | 2006-09-13 | 2009-02-01 |
| ANY108 | LIU Sit Lun | 廖薛倫 | RE | Advising on Futures Contracts | 2006-09-13 | 2009-02-01 |
| AOA079 | CHEUK Siu Wai | 卓少慧 | RE | Dealing in Securities | 2006-09-26 | 2007-12-18 |
| AOA079 | CHEUK Siu Wai | 卓少慧 | RE | Dealing in Futures Contracts | 2006-09-26 | 2007-12-18 |
| AOA079 | CHEUK Siu Wai | 卓少慧 | RE | Advising on Futures Contracts | 2006-09-26 | 2007-12-18 |
| AOD366 | HO Yuen Kwan | 何婉君 | RE | Dealing in Securities | 2006-11-08 | 2007-05-20 |
| AOD371 | KWOK Fung Ping | 郭鳳萍 | RE | Dealing in Securities | 2006-11-07 | 2007-03-23 |
| AOD371 | KWOK Fung Ping | 郭鳳萍 | RE | Dealing in Futures Contracts | 2006-11-07 | 2007-03-23 |
| AOD371 | KWOK Fung Ping | 郭鳳萍 | RE | Advising on Futures Contracts | 2007-02-05 | 2007-03-23 |
| AOE024 | DAI Ziyun | RE | Dealing in Securities | 2006-11-20 | 2006-12-20 | |
| AOE026 | NG Siu Hin | 吳兆騫 | RE | Dealing in Futures Contracts | 2008-12-10 | 2010-01-26 |
| AOE160 | TAN Hian Siong | RE | Dealing in Securities | 2006-11-20 | 2006-12-01 | |
| AOE658 | SCHUBERT Gerhard Max | RE | Dealing in Futures Contracts | 2008-12-10 | 2009-05-01 | |
| AON498 | DE NATRIS Marc Peter | RE | Dealing in Securities | 2007-02-05 | 2007-08-14 | |
| AON498 | DE NATRIS Marc Peter | RO | Dealing in Securities | 2007-08-14 | 2012-06-27 | |
| AON498 | DE NATRIS Marc Peter | RE | Dealing in Futures Contracts | 2007-02-05 | 2007-08-14 | |
| AON498 | DE NATRIS Marc Peter | RO | Dealing in Futures Contracts | 2007-08-14 | 2012-06-27 | |
| AON498 | DE NATRIS Marc Peter | RO | Advising on Securities | 2007-08-14 | 2012-06-27 | |
| AON498 | DE NATRIS Marc Peter | RE | Advising on Futures Contracts | 2007-02-05 | 2007-08-14 | |
| AON498 | DE NATRIS Marc Peter | RO | Advising on Futures Contracts | 2007-08-14 | 2012-06-27 | |
| AON498 | DE NATRIS Marc Peter | RO | Asset Management | 2007-08-14 | 2012-06-27 | |
| AOR636 | CHANG Jason | RE | Dealing in Securities | 2007-03-16 | 2010-06-12 | |
| AOR636 | CHANG Jason | RE | Dealing in Futures Contracts | 2007-03-16 | 2010-01-06 | |
| AOR636 | CHANG Jason | RE | Advising on Futures Contracts | 2007-03-16 | 2010-01-06 | |
| AOV375 | CHAN Yin Yu | 陳燕餘 | RE | Dealing in Securities | 2007-04-27 | 2008-07-12 |
| AOV375 | CHAN Yin Yu | 陳燕餘 | RE | Dealing in Futures Contracts | 2008-05-13 | 2008-07-12 |
| AOV375 | CHAN Yin Yu | 陳燕餘 | RE | Advising on Futures Contracts | 2008-05-13 | 2008-07-12 |
| AOX408 | CHOI Man Ki | 蔡敏琪 | RE | Dealing in Securities | 2007-05-14 | 2010-10-31 |
| AOX408 | CHOI Man Ki | 蔡敏琪 | RE | Dealing in Futures Contracts | 2007-05-14 | 2010-10-31 |
| AOX408 | CHOI Man Ki | 蔡敏琪 | RE | Advising on Futures Contracts | 2007-05-14 | 2010-10-31 |
| AOY506 | LAM Tin Lok | 林天諾 | RE | Dealing in Securities | 2007-05-25 | 2010-05-03 |
| AOY506 | LAM Tin Lok | 林天諾 | RE | Dealing in Futures Contracts | 2007-05-25 | 2010-05-03 |
| AOY506 | LAM Tin Lok | 林天諾 | RE | Advising on Futures Contracts | 2007-05-25 | 2010-05-03 |
| APC068 | HON Kai Lai | 韓嘉麗 | RE | Dealing in Securities | 2011-11-22 | 2012-01-01 |
| APC068 | HON Kai Lai | 韓嘉麗 | RE | Dealing in Futures Contracts | 2011-11-22 | 2012-01-01 |
| APC250 | LIM Kok Boon | RE | Dealing in Securities | 2007-06-14 | 2009-02-27 | |
| APC250 | LIM Kok Boon | RE | Dealing in Futures Contracts | 2007-06-14 | 2009-02-27 | |
| APC250 | LIM Kok Boon | RE | Advising on Futures Contracts | 2007-06-14 | 2009-02-27 | |
| APK631 | LEUNG Yin Ling | 梁燕玲 | RE | Dealing in Securities | 2007-08-15 | 2009-05-16 |
| APV611 | LEE Wei Ching, Ivy | 李蔚晶 | RE | Dealing in Securities | 2007-10-17 | 2010-04-01 |
| AQA673 | LAI Sin Ting | 黎倩婷 | RE | Dealing in Securities | 2007-11-23 | 2010-10-31 |
| AQD104 | KONG Siu Lan, Selina | 江少蘭 | RE | Dealing in Securities | 2007-12-05 | 2009-05-16 |
| AQE610 | WALLS Chad Whitney | RO | Dealing in Futures Contracts | 2008-12-10 | 2010-05-19 | |
| AQE945 | LEUNG Mang Hui | 梁孟煦 | RE | Dealing in Securities | 2007-12-21 | 2010-10-31 |
| AQE945 | LEUNG Mang Hui | 梁孟煦 | RE | Dealing in Futures Contracts | 2007-12-21 | 2010-10-31 |
| AQE945 | LEUNG Mang Hui | 梁孟煦 | RE | Advising on Futures Contracts | 2007-12-21 | 2010-10-31 |
| AQG385 | WONG Hiu Yan | 黃曉欣 | RE | Dealing in Securities | 2008-01-03 | 2009-05-16 |
| AQG385 | WONG Hiu Yan | 黃曉欣 | RE | Dealing in Futures Contracts | 2008-01-03 | 2009-05-16 |
| AQG385 | WONG Hiu Yan | 黃曉欣 | RE | Advising on Futures Contracts | 2008-01-03 | 2009-05-16 |
| AQI850 | WONG Sau Wai | 黃秀蕙 | RE | Dealing in Securities | 2008-01-24 | 2010-06-12 |
| AQR317 | CHAN Ho Wai | 陳可惠 | RO | Dealing in Securities | 2012-06-25 | 2018-12-08 |
| AQR317 | CHAN Ho Wai | 陳可惠 | RO | Advising on Securities | 2012-06-25 | 2018-12-08 |
| AQS466 | LEUNG Suk Kuen, Winnie | 梁淑娟 | RE | Dealing in Securities | 2008-03-25 | 2009-03-17 |
| AQS466 | LEUNG Suk Kuen, Winnie | 梁淑娟 | RE | Dealing in Futures Contracts | 2008-03-25 | 2009-03-17 |
| AQS466 | LEUNG Suk Kuen, Winnie | 梁淑娟 | RE | Advising on Futures Contracts | 2008-03-25 | 2009-03-17 |
| ARG508 | WONG Kin Wai | 王健威 | RE | Dealing in Securities | 2008-07-02 | 2009-06-01 |
| ARG508 | WONG Kin Wai | 王健威 | RE | Dealing in Futures Contracts | 2008-07-02 | 2009-06-01 |
| ARG508 | WONG Kin Wai | 王健威 | RE | Advising on Futures Contracts | 2008-07-02 | 2009-06-01 |
| ARH946 | HUI Sum Yuet Barbara | 許心悅 | RE | Dealing in Securities | 2008-07-14 | 2010-07-17 |
| ARH946 | HUI Sum Yuet Barbara | 許心悅 | RE | Dealing in Futures Contracts | 2008-07-14 | 2010-07-17 |
| ARH946 | HUI Sum Yuet Barbara | 許心悅 | RE | Advising on Futures Contracts | 2008-07-14 | 2010-07-17 |
| ARI559 | SHUM Wing Lan Emily | 岑詠蘭 | RE | Dealing in Securities | 2008-07-21 | 2011-01-30 |
| ARI559 | SHUM Wing Lan Emily | 岑詠蘭 | RE | Dealing in Futures Contracts | 2008-07-21 | 2011-01-30 |
| ARI559 | SHUM Wing Lan Emily | 岑詠蘭 | RE | Advising on Futures Contracts | 2008-07-21 | 2011-01-30 |
| ARN024 | HO Ka Lee, Kary | 何嘉莉 | RE | Dealing in Securities | 2008-08-12 | 2010-10-31 |
| ARN024 | HO Ka Lee, Kary | 何嘉莉 | RE | Dealing in Futures Contracts | 2008-08-12 | 2010-10-31 |
| ARN024 | HO Ka Lee, Kary | 何嘉莉 | RE | Advising on Futures Contracts | 2008-08-12 | 2010-10-31 |
| ARS413 | LIM Tien Hoe | 林天河 | RE | Dealing in Futures Contracts | 2008-12-10 | 2010-04-23 |
| ASJ987 | LEOW Kerry Su-Lin | 饒舒凌 | RE | Dealing in Securities | 2009-02-03 | 2010-04-10 |
| ASJ987 | LEOW Kerry Su-Lin | 饒舒凌 | RE | Dealing in Futures Contracts | 2009-02-03 | 2010-04-10 |
| ASJ987 | LEOW Kerry Su-Lin | 饒舒凌 | RE | Advising on Futures Contracts | 2009-02-03 | 2010-04-10 |
| ASK028 | GOH Yeah Lin | 吳雅琳 | RE | Dealing in Securities | 2009-02-03 | 2010-04-10 |
| ASK028 | GOH Yeah Lin | 吳雅琳 | RE | Dealing in Futures Contracts | 2009-02-03 | 2010-04-10 |
| ASK028 | GOH Yeah Lin | 吳雅琳 | RE | Advising on Futures Contracts | 2009-02-03 | 2010-04-10 |
| ATV921 | FONG Kai Yin Terruce | 方啟賢 | RE | Dealing in Securities | 2009-10-29 | 2010-11-08 |
| ATV921 | FONG Kai Yin Terruce | 方啟賢 | RE | Dealing in Futures Contracts | 2009-12-24 | 2010-11-08 |
| ATV921 | FONG Kai Yin Terruce | 方啟賢 | RE | Advising on Futures Contracts | 2009-12-24 | 2010-11-08 |
| AVK557 | HONG Yang | 洪洋 | RE | Dealing in Securities | 2013-12-17 | |
| AVM461 | LAI Chun Hing | 黎浚興 | RE | Dealing in Securities | 2012-11-19 | 2017-01-06 |
| AVM461 | LAI Chun Hing | 黎浚興 | RE | Advising on Securities | 2012-11-19 | 2017-01-06 |
| AVW696 | FAN Cheuk Ming, Victor | 范卓明 | RE | Dealing in Securities | 2010-09-15 | 2010-10-31 |
| AVW696 | FAN Cheuk Ming, Victor | 范卓明 | RE | Dealing in Futures Contracts | 2010-09-15 | 2010-10-31 |
| AVW696 | FAN Cheuk Ming, Victor | 范卓明 | RE | Advising on Futures Contracts | 2010-09-15 | 2010-10-31 |
| AZA792 | SONG Yang | 宋揚 | RE | Dealing in Securities | 2012-02-15 | 2017-03-14 |
| AZF866 | LI Wing Hang Eric | 李永恆 | RE | Dealing in Securities | 2012-11-19 | |
| BEA239 | CHEUNG Yee | 張怡 | RE | Dealing in Securities | 2015-05-20 | |
| BEQ722 | LAU Tsz Yeung | 劉子楊 | RE | Dealing in Securities | 2014-12-15 | 2015-08-14 |
| BEQ722 | LAU Tsz Yeung | 劉子楊 | RE | Dealing in Securities | 2015-09-01 | 2017-07-08 |
| BJE135 | TANG Chi Wang | 鄧志宏 | RE | Dealing in Securities | 2017-03-28 |
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