Hong Kong SFC licence institution AAE689, Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司

These are the licence-holders that were found for SFC licence institution AAE689 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
AAA072 TSANG On Bong, Eric 曾安邦 RE Dealing in Securities 2003-04-01 2006-06-01
AAA072 TSANG On Bong, Eric 曾安邦 RE Advising on Securities 2003-04-01 2003-08-09
AAA072 TSANG On Bong, Eric 曾安邦 RE Advising on Corporate Finance 2003-04-01 2003-08-09
AAA072 TSANG On Bong, Eric 曾安邦 RE Providing Automated Trading Services 2003-04-01 2003-08-09
AAA072 TSANG On Bong, Eric 曾安邦 RE Asset Management 2003-04-01 2003-08-09
AAB732 NG Mei Fun 吳美芬 RE Dealing in Securities 2003-04-01 2003-10-07
AAB732 NG Mei Fun 吳美芬 RE Dealing in Futures Contracts 2003-04-01 2003-10-07
AAB732 NG Mei Fun 吳美芬 RE Advising on Securities 2003-04-01 2003-08-21
AAB732 NG Mei Fun 吳美芬 RE Advising on Futures Contracts 2003-04-01 2003-08-21
AAB732 NG Mei Fun 吳美芬 RE Advising on Corporate Finance 2003-04-01 2003-08-21
AAB732 NG Mei Fun 吳美芬 RE Providing Automated Trading Services 2003-04-01 2003-08-21
AAB732 NG Mei Fun 吳美芬 RE Asset Management 2003-04-01 2003-08-21
AAB955 HO Hin Hung, Henry 何顯鴻 RE Advising on Securities 2007-08-23 2008-04-09
AAF460 WONG Ming Shing 黃明勝 RE Dealing in Securities 2005-08-04 2008-09-29
AAF460 WONG Ming Shing 黃明勝 RE Dealing in Futures Contracts 2006-08-11 2008-09-29
AAN604 SWEENEY Kirk Chester RO Dealing in Securities 2003-04-01 2008-09-29
AAN604 SWEENEY Kirk Chester RO Dealing in Futures Contracts 2003-04-01 2008-09-29
AAN604 SWEENEY Kirk Chester RO Advising on Securities 2003-04-01 2008-09-29
AAN604 SWEENEY Kirk Chester RO Advising on Corporate Finance 2003-04-01 2008-09-29
AAN604 SWEENEY Kirk Chester RO Providing Automated Trading Services 2003-04-01 2003-09-01
AAN604 SWEENEY Kirk Chester RO Asset Management 2003-04-01 2003-09-01
ABA518 KWOK Leung RE Advising on Securities 2003-04-23 2004-04-06
ABC588 KWAN Po Kuen, Joyce 關寶娟 RE Dealing in Securities 2005-04-25 2007-02-05
ABG705 O'CONNOR Brian Michael RO Advising on Corporate Finance 2003-04-01 2005-06-03
ABL783 WOO Rebecca Heng-yun 吳恆恩 RE Dealing in Securities 2003-04-01 2005-06-20
ABL783 WOO Rebecca Heng-yun 吳恆恩 RE Advising on Securities 2003-04-01 2003-08-09
ABL783 WOO Rebecca Heng-yun 吳恆恩 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ABL783 WOO Rebecca Heng-yun 吳恆恩 RE Providing Automated Trading Services 2003-04-01 2003-08-09
ABL783 WOO Rebecca Heng-yun 吳恆恩 RE Asset Management 2003-04-01 2003-08-09
ABM263 PENTON Dominic Jon RE Dealing in Securities 2003-09-10 2004-03-15
ABM263 PENTON Dominic Jon RO Dealing in Securities 2003-04-01 2003-09-04
ABM263 PENTON Dominic Jon RO Dealing in Securities 2004-03-15 2005-05-05
ABM263 PENTON Dominic Jon RO Providing Automated Trading Services 2003-04-01 2003-09-01
ABM624 CHAN Kent W B RE Advising on Securities 2007-06-01 2008-09-29
ABN253 CHAN Kam Chi, Angello 陳錦池 RE Advising on Securities 2003-04-01 2004-05-21
ABN253 CHAN Kam Chi, Angello 陳錦池 RE Advising on Corporate Finance 2003-04-01 2003-08-11
ABN253 CHAN Kam Chi, Angello 陳錦池 RE Asset Management 2003-04-01 2003-08-11
ABN712 EDWARDS Christopher James RE Dealing in Securities 2006-09-07 2007-09-05
ABN712 EDWARDS Christopher James RE Dealing in Futures Contracts 2007-06-18 2007-09-05
ABN712 EDWARDS Christopher James RE Advising on Securities 2006-07-24 2007-09-05
ABN804 CHUNG Sun Kyung Jessica RE Dealing in Securities 2007-06-07 2007-06-13
ABN804 CHUNG Sun Kyung Jessica RE Dealing in Futures Contracts 2007-06-07 2007-06-13
ABQ262 CHAN Johnson Ow 陳贊臣 RE Dealing in Securities 2008-05-02 2008-09-29
ABQ262 CHAN Johnson Ow 陳贊臣 RE Dealing in Futures Contracts 2008-05-02 2008-09-29
ABQ262 CHAN Johnson Ow 陳贊臣 RE Advising on Securities 2008-05-14 2008-09-29
ABT100 BHATTAL Jasjit Singh RO Advising on Securities 2003-04-01 2008-09-29
ABT100 BHATTAL Jasjit Singh RO Advising on Corporate Finance 2003-04-01 2008-09-29
ABT100 BHATTAL Jasjit Singh RO Asset Management 2003-04-01 2003-09-03
ABV412 LIU Shao Li 劉曉黎 RE Dealing in Securities 2003-04-01 2004-03-02
ABV412 LIU Shao Li 劉曉黎 RE Advising on Securities 2003-04-01 2003-08-09
ABV412 LIU Shao Li 劉曉黎 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ABV412 LIU Shao Li 劉曉黎 RE Providing Automated Trading Services 2003-04-01 2003-08-09
ABV412 LIU Shao Li 劉曉黎 RE Asset Management 2003-04-01 2003-08-09
ABV790 NG Suk Yin, Virginia 吳淑燕 RE Dealing in Securities 2003-10-13 2004-04-15
ACA158 HARRIS Jonathan Howe RE Dealing in Securities 2006-06-29 2006-07-29
ACA158 HARRIS Jonathan Howe RE Advising on Securities 2003-12-09 2005-07-04
ACA158 HARRIS Jonathan Howe RO Advising on Securities 2005-07-04 2006-07-29
ACB502 CHEN Yat Hung 陳一鴻 RE Dealing in Securities 2006-07-12 2008-09-29
ACF810 YIM Ka Yee, Joyce 嚴嘉怡 RE Dealing in Securities 2006-09-22 2008-02-28
ACG024 WRIGHT Symon Robert RE Dealing in Securities 2003-04-01 2006-03-20
ACG024 WRIGHT Symon Robert RE Advising on Securities 2003-04-01 2003-08-09
ACG024 WRIGHT Symon Robert RE Advising on Corporate Finance 2003-04-01 2003-08-09
ACG024 WRIGHT Symon Robert RE Providing Automated Trading Services 2003-04-01 2003-08-09
ACG024 WRIGHT Symon Robert RE Asset Management 2003-04-01 2003-08-09
ACG599 LAM Lok Yee, Ada 林洛宜 RE Dealing in Securities 2003-04-01 2003-05-02
ACG599 LAM Lok Yee, Ada 林洛宜 RE Dealing in Securities 2004-05-14 2007-02-15
ACG599 LAM Lok Yee, Ada 林洛宜 RE Advising on Securities 2003-04-01 2003-05-02
ACG599 LAM Lok Yee, Ada 林洛宜 RE Advising on Corporate Finance 2003-04-01 2003-05-02
ACG599 LAM Lok Yee, Ada 林洛宜 RE Providing Automated Trading Services 2003-04-01 2003-05-02
ACG599 LAM Lok Yee, Ada 林洛宜 RE Asset Management 2003-04-01 2003-05-02
ACM011 DONOHUGH William Hugh McGregor 唐威林 RE Dealing in Securities 2003-04-01 2004-04-15
ACM011 DONOHUGH William Hugh McGregor 唐威林 RE Advising on Securities 2003-04-01 2003-08-09
ACM011 DONOHUGH William Hugh McGregor 唐威林 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ACM011 DONOHUGH William Hugh McGregor 唐威林 RE Providing Automated Trading Services 2003-04-01 2003-08-09
ACM011 DONOHUGH William Hugh McGregor 唐威林 RE Asset Management 2003-04-01 2003-08-09
ACN459 WONG KWONG Yiu Sze, Muse 黃鄺瑤詩 RE Dealing in Securities 2003-05-12 2005-08-01
ACO050 YANG Zhizhong 楊志中 RE Advising on Securities 2004-09-15 2008-09-29
ACO050 YANG Zhizhong 楊志中 RE Advising on Corporate Finance 2004-09-15 2005-10-05
ACO050 YANG Zhizhong 楊志中 RO Advising on Corporate Finance 2005-10-05 2008-09-29
ACT590 THROSBY Timothy James Osborne RE Dealing in Securities 2003-04-01 2005-07-12
ACT590 THROSBY Timothy James Osborne RE Dealing in Futures Contracts 2003-04-01 2005-07-12
ACT590 THROSBY Timothy James Osborne RE Advising on Securities 2003-04-01 2003-08-12
ACT590 THROSBY Timothy James Osborne RE Advising on Futures Contracts 2003-04-01 2003-08-12
ACT590 THROSBY Timothy James Osborne RE Advising on Corporate Finance 2003-04-01 2003-08-12
ACT590 THROSBY Timothy James Osborne RE Providing Automated Trading Services 2003-04-01 2003-08-12
ACT590 THROSBY Timothy James Osborne RE Asset Management 2003-04-01 2003-08-12
ACU390 CHONG Marco Chun Wah 張俊華 RE Dealing in Securities 2006-04-07 2008-09-29
ACU891 LAI Wai Tsz 黎慧慈 RE Dealing in Futures Contracts 2006-02-17 2007-05-14
ACW474 WU Yat Wai 胡一威 RE Advising on Securities 2003-04-01 2004-05-18
ACW474 WU Yat Wai 胡一威 RO Advising on Securities 2004-05-18 2005-05-20
ACW474 WU Yat Wai 胡一威 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ACW474 WU Yat Wai 胡一威 RE Asset Management 2003-04-01 2003-08-09
ACW742 COOPER Kenneth Allen RE Dealing in Futures Contracts 2003-04-01 2003-05-19
ACW742 COOPER Kenneth Allen RE Advising on Futures Contracts 2003-04-01 2003-05-19
ACW742 COOPER Kenneth Allen RE Providing Automated Trading Services 2003-04-01 2003-05-19
ACW742 COOPER Kenneth Allen RE Asset Management 2003-04-01 2003-05-19
ACY139 LIU Kit Yee, Kate 廖潔儀 RE Dealing in Securities 2003-06-16 2008-09-29
ACY139 LIU Kit Yee, Kate 廖潔儀 RE Providing Automated Trading Services 2003-06-16 2003-09-19
ADA874 HO Kelvin Teik Chye RE Advising on Securities 2003-04-01 2008-09-29
ADA874 HO Kelvin Teik Chye RE Advising on Corporate Finance 2003-04-01 2008-09-29
ADA874 HO Kelvin Teik Chye RE Asset Management 2003-04-01 2003-08-13
ADB186 YONG Fui San RE Advising on Securities 2005-03-04 2008-09-29
ADB186 YONG Fui San RE Advising on Corporate Finance 2005-03-04 2008-09-29
ADB507 HORA Neeraj RE Dealing in Securities 2008-08-11 2008-10-02
ADB507 HORA Neeraj RE Advising on Corporate Finance 2008-08-11 2008-10-02
ADB589 WOO Mei Wah 吳美華 RE Dealing in Securities 2008-04-18 2008-09-29
ADB589 WOO Mei Wah 吳美華 RE Dealing in Futures Contracts 2008-04-18 2008-09-29
ADB867 CHEUNG Lai Man, Loretta 張麗雯 RE Dealing in Securities 2003-04-01 2008-09-29
ADB867 CHEUNG Lai Man, Loretta 張麗雯 RE Advising on Securities 2003-04-01 2003-08-09
ADB867 CHEUNG Lai Man, Loretta 張麗雯 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ADB867 CHEUNG Lai Man, Loretta 張麗雯 RE Providing Automated Trading Services 2003-04-01 2003-08-09
ADB867 CHEUNG Lai Man, Loretta 張麗雯 RE Asset Management 2003-04-01 2003-08-09
ADC037 TSANG Lai Kuen 曾麗娟 RE Dealing in Securities 2003-04-01 2008-09-29
ADC037 TSANG Lai Kuen 曾麗娟 RE Advising on Securities 2003-04-01 2003-08-09
ADC037 TSANG Lai Kuen 曾麗娟 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ADC037 TSANG Lai Kuen 曾麗娟 RE Providing Automated Trading Services 2003-04-01 2003-08-09
ADC037 TSANG Lai Kuen 曾麗娟 RE Asset Management 2003-04-01 2003-08-09
ADG113 STEAINS Anthony John RE Advising on Securities 2006-05-16 2007-10-29
ADG113 STEAINS Anthony John RO Advising on Securities 2007-10-29 2008-09-29
ADG113 STEAINS Anthony John RE Advising on Corporate Finance 2006-05-16 2007-10-29
ADG113 STEAINS Anthony John RO Advising on Corporate Finance 2007-10-29 2008-09-29
ADH400 WAI Chi Cheong, Gordon 韋志昌 RE Advising on Securities 2006-06-07 2008-09-29
ADH929 PAINE David L RE Dealing in Securities 2003-04-01 2008-09-29
ADH929 PAINE David L RE Advising on Securities 2003-04-01 2003-08-12
ADH929 PAINE David L RE Advising on Corporate Finance 2003-04-01 2008-09-29
ADH929 PAINE David L RE Providing Automated Trading Services 2003-04-01 2003-08-12
ADH929 PAINE David L RE Asset Management 2003-04-01 2003-08-12
ADJ268 GORDON JR Thomas Lee RE Dealing in Securities 2003-12-01 2004-03-01
ADJ557 LAM Tai Yuen , David 林大源 RE Dealing in Securities 2003-04-01 2006-03-28
ADJ557 LAM Tai Yuen , David 林大源 RO Dealing in Securities 2006-03-28 2008-09-29
ADJ557 LAM Tai Yuen , David 林大源 RE Dealing in Futures Contracts 2006-03-03 2008-09-29
ADJ557 LAM Tai Yuen , David 林大源 RE Advising on Securities 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Advising on Corporate Finance 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Providing Automated Trading Services 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Asset Management 2003-04-01 2003-08-12
ADL075 WONG Wan Ching, Fiona 黃韻青 RE Dealing in Securities 2008-06-30 2008-09-29
ADM983 KING Richard Yun Zing 金元成 RE Advising on Securities 2007-09-17 2008-09-29
ADM983 KING Richard Yun Zing 金元成 RE Advising on Corporate Finance 2007-09-17 2008-09-29
ADN093 TANG Wai Yan 鄧惠因 RE Advising on Securities 2004-07-20 2005-05-20
ADQ008 LAUNGANI Neel RE Advising on Securities 2003-04-01 2008-09-29
ADQ008 LAUNGANI Neel RE Advising on Corporate Finance 2003-04-01 2004-12-20
ADQ008 LAUNGANI Neel RO Advising on Corporate Finance 2004-12-20 2008-09-29
ADQ008 LAUNGANI Neel RE Asset Management 2003-04-01 2003-08-13
ADQ242 PARK Sung Wan 朴性玩 RE Dealing in Securities 2003-04-01 2006-03-26
ADQ242 PARK Sung Wan 朴性玩 RE Dealing in Securities 2008-01-21 2008-09-29
ADQ242 PARK Sung Wan 朴性玩 RE Advising on Securities 2003-04-01 2003-08-12
ADQ242 PARK Sung Wan 朴性玩 RE Advising on Corporate Finance 2003-04-01 2003-08-12
ADQ242 PARK Sung Wan 朴性玩 RE Providing Automated Trading Services 2003-04-01 2003-08-12
ADQ242 PARK Sung Wan 朴性玩 RE Asset Management 2003-04-01 2003-08-12
ADR043 ADAIR John Joseph RE Dealing in Securities 2007-04-17 2008-09-29
ADR043 ADAIR John Joseph RE Dealing in Futures Contracts 2007-04-17 2008-09-29
ADR449 GVOZDEN Alexander Robin RE Advising on Securities 2005-01-20 2005-09-20
ADR669 MAR Johnson RO Dealing in Securities 2003-04-01 2008-09-29
ADR669 MAR Johnson RO Providing Automated Trading Services 2003-04-01 2003-09-01
ADR766 SCHULTE Paul Louis Peter RE Advising on Securities 2007-07-06 2008-09-29
ADS012 VENTOURAS Alexis RE Dealing in Securities 2003-04-01 2003-08-06
ADS012 VENTOURAS Alexis RE Dealing in Futures Contracts 2003-07-17 2003-08-06
ADS012 VENTOURAS Alexis RE Advising on Securities 2003-04-01 2003-07-08
ADS012 VENTOURAS Alexis RE Advising on Corporate Finance 2003-04-01 2003-07-08
ADS012 VENTOURAS Alexis RE Providing Automated Trading Services 2003-04-01 2003-08-06
ADS012 VENTOURAS Alexis RE Asset Management 2003-04-01 2003-07-08
ADS285 CHENG Kwok Wai 鄭國偉 RE Dealing in Securities 2008-04-30 2008-09-29
ADS285 CHENG Kwok Wai 鄭國偉 RE Dealing in Futures Contracts 2008-04-30 2008-09-29
ADS384 TUNG Hong, Erik 童慷 RE Advising on Securities 2005-10-14 2008-09-29
ADS384 TUNG Hong, Erik 童慷 RE Advising on Corporate Finance 2005-10-14 2006-04-19
ADS384 TUNG Hong, Erik 童慷 RO Advising on Corporate Finance 2006-04-19 2008-09-29
ADS696 BACCHUS Timothy Mustapha RE Advising on Securities 2003-09-19 2005-10-21
ADT507 WONG Yu, Michael 黃宇 RE Dealing in Securities 2005-05-05 2006-07-27
ADT973 KOO Za Yong RE Advising on Securities 2007-09-21 2008-09-29
ADU457 CHAN Sau Wai, Sylvia 陳秀慧 RE Advising on Securities 2007-06-13 2008-09-29
ADW089 BANFIELD Colin Dennis RE Advising on Securities 2007-09-13 2007-10-16
ADW089 BANFIELD Colin Dennis RO Advising on Securities 2007-10-16 2008-09-29
ADW089 BANFIELD Colin Dennis RE Advising on Corporate Finance 2007-09-13 2007-10-16
ADW089 BANFIELD Colin Dennis RO Advising on Corporate Finance 2007-10-16 2008-09-29
ADW357 SIAZON Ken I RE Advising on Securities 2003-04-01 2003-05-30
ADW357 SIAZON Ken I RE Advising on Corporate Finance 2003-04-01 2003-05-30
ADW357 SIAZON Ken I RE Asset Management 2003-04-01 2003-05-30
ADW638 WANG Jun Ping 王君平 RE Advising on Securities 2003-04-01 2004-04-28
ADW638 WANG Jun Ping 王君平 RE Advising on Corporate Finance 2003-04-01 2004-04-28
ADW638 WANG Jun Ping 王君平 RE Asset Management 2003-04-01 2003-08-09
ADX191 AHMAD Sarwar RE Dealing in Securities 2007-03-13 2008-03-31
ADX191 AHMAD Sarwar RE Advising on Securities 2007-03-13 2008-03-31
ADY730 WONG Ka Man, Carman 王嘉敏 RE Dealing in Securities 2007-09-27 2008-09-29
ADY730 WONG Ka Man, Carman 王嘉敏 RE Advising on Corporate Finance 2007-09-27 2008-09-29
ADZ065 HARRIS David Anthony RE Dealing in Securities 2003-11-21 2004-02-21
ADZ441 YU Man Kiu, Janice 茹蔓喬 RE Dealing in Securities 2003-04-01 2004-02-03
ADZ441 YU Man Kiu, Janice 茹蔓喬 RE Advising on Securities 2003-04-01 2003-08-09
ADZ441 YU Man Kiu, Janice 茹蔓喬 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ADZ441 YU Man Kiu, Janice 茹蔓喬 RE Providing Automated Trading Services 2003-04-01 2003-09-19
ADZ441 YU Man Kiu, Janice 茹蔓喬 RE Asset Management 2003-04-01 2003-08-09
ADZ872 CHAN Wun Sheung Alison May 陳韻湘 RE Advising on Securities 2003-04-01 2005-04-30
ADZ872 CHAN Wun Sheung Alison May 陳韻湘 RE Advising on Corporate Finance 2003-04-01 2005-04-30
ADZ872 CHAN Wun Sheung Alison May 陳韻湘 RE Asset Management 2003-04-01 2003-08-09
AEA201 TAM Shing Hei 譚成希 RE Dealing in Securities 2005-04-25 2006-12-27
AEB024 BOWMER III William Sterett RE Dealing in Securities 2003-04-01 2004-07-23
AEB024 BOWMER III William Sterett RE Advising on Securities 2003-04-01 2003-08-11
AEB024 BOWMER III William Sterett RE Advising on Corporate Finance 2003-04-01 2004-07-23
AEB024 BOWMER III William Sterett RE Providing Automated Trading Services 2003-04-01 2003-08-11
AEB024 BOWMER III William Sterett RE Asset Management 2003-04-01 2003-08-11
AEB025 WONG Ching Him 黃正謙 RE Dealing in Securities 2006-04-28 2008-09-29
AEB025 WONG Ching Him 黃正謙 RE Advising on Securities 2003-04-01 2008-09-29
AEB025 WONG Ching Him 黃正謙 RE Advising on Corporate Finance 2003-04-01 2003-08-09
AEB025 WONG Ching Him 黃正謙 RE Asset Management 2003-04-01 2003-08-09
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Dealing in Securities 2003-04-01 2008-09-29
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Advising on Securities 2003-04-01 2003-08-12
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Advising on Corporate Finance 2003-04-01 2008-09-29
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Providing Automated Trading Services 2003-04-01 2003-08-12
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Asset Management 2003-04-01 2003-08-12
AEC574 YEN Weber Shu-Wei 嚴序緯 RE Advising on Securities 2006-06-26 2008-09-29
AEC574 YEN Weber Shu-Wei 嚴序緯 RE Advising on Corporate Finance 2006-06-26 2008-09-29
AEC763 KEE Tang Seng RE Dealing in Securities 2003-08-20 2006-04-10
AEC763 KEE Tang Seng RO Dealing in Securities 2006-04-10 2008-09-29
AEC763 KEE Tang Seng RE Dealing in Futures Contracts 2004-02-24 2008-09-29
AED081 WONG Man Yin 黃文嬿 RE Advising on Securities 2007-03-01 2008-09-29
AED614 LUK Ching Yan, Sylvia 陸靜茵 RE Dealing in Securities 2005-01-14 2005-10-14
AED614 LUK Ching Yan, Sylvia 陸靜茵 RE Dealing in Securities 2005-11-25 2008-09-29
AED753 MA Sze Man 馬思敏 RE Dealing in Securities 2006-03-16 2008-09-29
AEE163 WATSON Alan James David RE Dealing in Securities 2003-04-01 2004-07-08
AEE163 WATSON Alan James David RE Advising on Securities 2003-04-01 2003-08-09
AEE163 WATSON Alan James David RE Advising on Corporate Finance 2003-04-01 2003-08-09
AEE163 WATSON Alan James David RE Providing Automated Trading Services 2003-04-01 2003-09-19
AEE163 WATSON Alan James David RE Asset Management 2003-04-01 2003-08-09
AEE170 HO Tak Leung, Simon 何德亮 RE Advising on Securities 2003-06-17 2004-04-19
AEE607 SIU Yiu Han, Michael 蕭耀恒 RE Advising on Securities 2005-07-21 2008-05-02
AEI578 LEE Alexander Byungho RE Advising on Securities 2006-05-15 2008-03-25
AEI578 LEE Alexander Byungho RE Advising on Corporate Finance 2006-05-15 2008-03-25
AEI859 WAITE III Norman RE Dealing in Securities 2006-12-04 2008-09-29
AEJ606 KHOO Chiew Cheng 邱秋清 RE Advising on Securities 2006-05-16 2006-08-07
AEJ606 KHOO Chiew Cheng 邱秋清 RO Advising on Securities 2006-08-07 2008-09-29
AEJ623 LEUNG Ming Yee, Amy 梁鳴儀 RE Dealing in Securities 2003-04-01 2005-10-05
AEJ623 LEUNG Ming Yee, Amy 梁鳴儀 RE Advising on Securities 2003-04-01 2003-08-12
AEJ623 LEUNG Ming Yee, Amy 梁鳴儀 RE Advising on Corporate Finance 2003-04-01 2003-08-12
AEJ623 LEUNG Ming Yee, Amy 梁鳴儀 RE Providing Automated Trading Services 2003-04-01 2003-08-12
AEJ623 LEUNG Ming Yee, Amy 梁鳴儀 RE Asset Management 2003-04-01 2003-08-12
AEL830 LANCE Robert Waldo RE Dealing in Securities 2003-04-23 2003-12-12
AEL830 LANCE Robert Waldo RO Dealing in Securities 2003-12-12 2004-07-11
AEL830 LANCE Robert Waldo RO Dealing in Securities 2005-06-24 2006-02-24
AEL830 LANCE Robert Waldo RO Dealing in Futures Contracts 2003-06-03 2006-02-24
AEL830 LANCE Robert Waldo RE Providing Automated Trading Services 2003-06-03 2003-09-19
AEM291 LEUNG Siu Ling 梁小玲 RE Dealing in Securities 2006-05-11 2008-09-29
AEM291 LEUNG Siu Ling 梁小玲 RE Dealing in Futures Contracts 2006-05-11 2008-09-29
AEN512 MOHINANI Pradeep RE Advising on Securities 2005-05-12 2007-04-13
AEN512 MOHINANI Pradeep RO Advising on Securities 2007-04-13 2008-09-29
AEN827 MYONG Chun Hyong RE Dealing in Securities 2003-04-01 2005-02-02
AEN827 MYONG Chun Hyong RE Dealing in Securities 2005-02-22 2008-09-29
AEN827 MYONG Chun Hyong RE Advising on Securities 2003-04-01 2003-08-12
AEN827 MYONG Chun Hyong RE Advising on Corporate Finance 2003-04-01 2003-08-12
AEN827 MYONG Chun Hyong RE Providing Automated Trading Services 2003-04-01 2003-08-12
AEN827 MYONG Chun Hyong RE Asset Management 2003-04-01 2003-08-12
AEO766 MILLIKEN Peter James RE Dealing in Securities 2006-06-08 2008-02-01
AEO766 MILLIKEN Peter James RE Dealing in Futures Contracts 2006-06-08 2008-02-01
AEO766 MILLIKEN Peter James RE Advising on Securities 2003-04-01 2008-02-01
AEO766 MILLIKEN Peter James RE Advising on Corporate Finance 2003-04-01 2003-08-13
AEO766 MILLIKEN Peter James RE Asset Management 2003-04-01 2003-08-13
AEQ337 CHAN Hong 陳慷 RE Advising on Securities 2007-05-09 2008-09-29
AEQ337 CHAN Hong 陳慷 RE Advising on Corporate Finance 2007-05-09 2008-09-29
AER431 WU Wei 鄔煒 RE Dealing in Securities 2006-04-03 2008-09-29
AER431 WU Wei 鄔煒 RE Dealing in Futures Contracts 2006-04-11 2008-09-29
AER988 SEIZ Andrew Victor RE Dealing in Securities 2008-05-29 2008-09-29
AER988 SEIZ Andrew Victor RE Dealing in Futures Contracts 2008-05-29 2008-09-29
AES876 LOUIE Kwok Yi , Paul 雷國怡 RE Advising on Securities 2005-08-15 2008-09-29
AET869 WONG Kai Lap , Eric 黃啟立 RE Dealing in Securities 2006-11-01 2007-03-29
AET869 WONG Kai Lap , Eric 黃啟立 RO Dealing in Securities 2007-03-29 2007-05-21
AET869 WONG Kai Lap , Eric 黃啟立 RE Advising on Corporate Finance 2006-11-01 2007-03-29
AET869 WONG Kai Lap , Eric 黃啟立 RO Advising on Corporate Finance 2007-03-29 2007-05-21
AEU182 KARRIM Anika 畢安妮 RE Advising on Securities 2005-01-18 2008-04-26
AEU182 KARRIM Anika 畢安妮 RE Advising on Corporate Finance 2005-01-18 2008-04-26
AEU609 CHU Chi Ho, Ian 朱智豪 RE Dealing in Securities 2004-06-25 2005-06-02
AEW395 DOMINICK Frank RE Dealing in Securities 2003-10-24 2005-02-02
AEX555 SYKES Joel Alexander Hugh RE Advising on Securities 2003-04-01 2004-07-15
AEX555 SYKES Joel Alexander Hugh RE Advising on Corporate Finance 2003-04-01 2003-08-12
AEX555 SYKES Joel Alexander Hugh RE Asset Management 2003-04-01 2003-08-12
AEY314 LAM Chun Kwok, Jimmy 林振國 RE Advising on Securities 2004-10-19 2005-01-17
AEY448 HUNG Hei King, Kenneth 洪熙敬 RE Dealing in Securities 2005-09-15 2008-09-29
AEY448 HUNG Hei King, Kenneth 洪熙敬 RE Dealing in Futures Contracts 2005-10-13 2008-09-29
AFB019 TEO Thye Peng, Bernard 張泰平 RE Advising on Securities 2007-04-30 2008-09-29
AFB019 TEO Thye Peng, Bernard 張泰平 RE Advising on Corporate Finance 2007-04-25 2008-09-29
AFC192 LO Man Chuen, Benjamin 羅文晉 RE Advising on Securities 2007-03-14 2008-09-29
AFC433 YEUNG Kei Yuen 楊紀元 RE Dealing in Securities 2008-04-18 2008-09-29
AFC433 YEUNG Kei Yuen 楊紀元 RE Dealing in Futures Contracts 2008-04-30 2008-09-29
AFC564 LEUNG Ka Ho 梁嘉浩 RE Dealing in Securities 2005-04-15 2008-09-29
AFD213 HUI Kei Man 許紀文 RE Advising on Securities 2004-09-17 2007-05-01
AFD213 HUI Kei Man 許紀文 RE Advising on Corporate Finance 2004-09-17 2007-05-01
AFD300 SHANIDZE Levan RE Dealing in Securities 2005-11-07 2008-09-29
AFD300 SHANIDZE Levan RE Dealing in Futures Contracts 2005-11-07 2008-09-29
AFD442 SUSANTO Michael Tjahja RE Dealing in Securities 2006-08-23 2008-09-29
AFD442 SUSANTO Michael Tjahja RE Advising on Securities 2006-04-27 2008-09-29
AFD553 TAN Sze Ling, Snowy 陳施霖 RE Dealing in Securities 2006-03-22 2008-08-01
AFD553 TAN Sze Ling, Snowy 陳施霖 RE Dealing in Futures Contracts 2006-03-22 2008-08-01
AFD872 CHEONG Hong Lum, Julian RE Dealing in Securities 2008-08-18 2008-09-29
AFD872 CHEONG Hong Lum, Julian RE Advising on Securities 2008-08-18 2008-09-29
AFD872 CHEONG Hong Lum, Julian RE Advising on Corporate Finance 2008-08-18 2008-09-29
AFE174 WANG Pengyue 王朋月 RE Advising on Securities 2008-02-14 2008-08-15
AFE174 WANG Pengyue 王朋月 RE Advising on Corporate Finance 2008-02-14 2008-08-15
AFE954 CLARK David John RE Advising on Securities 2003-04-01 2003-06-16
AFE954 CLARK David John RE Advising on Corporate Finance 2003-04-01 2003-06-16
AFE954 CLARK David John RE Asset Management 2003-04-01 2003-06-16
AFF887 LEUNG Jenkin Ching Kei 梁正己 RE Dealing in Securities 2004-08-16 2004-10-13
AFF887 LEUNG Jenkin Ching Kei 梁正己 RO Dealing in Securities 2004-10-13 2005-07-28
AFF887 LEUNG Jenkin Ching Kei 梁正己 RE Dealing in Futures Contracts 2004-10-09 2005-07-28
AFH089 KINNEAR-NOCK Scott William RE Dealing in Securities 2008-05-16 2008-09-29
AFH192 CHUI Chi-sun 徐志真 RE Dealing in Securities 2008-07-02 2008-09-29
AFH192 CHUI Chi-sun 徐志真 RE Dealing in Futures Contracts 2008-07-02 2008-09-29
AFH236 MCKEEVER Stephen James RE Dealing in Securities 2005-11-30 2006-02-07
AFH236 MCKEEVER Stephen James RE Advising on Securities 2003-04-01 2006-02-07
AFH236 MCKEEVER Stephen James RE Advising on Corporate Finance 2003-04-01 2003-08-13
AFH236 MCKEEVER Stephen James RE Asset Management 2003-04-01 2003-08-13
AFI835 LAU Kenneth 劉皓之 RE Advising on Securities 2003-04-01 2006-02-15
AFI835 LAU Kenneth 劉皓之 RE Advising on Corporate Finance 2003-04-01 2004-07-09
AFI835 LAU Kenneth 劉皓之 RE Asset Management 2003-04-01 2003-08-13
AFJ427 LO Pui Man, Joyce 羅珮文 RE Dealing in Securities 2006-08-28 2009-07-02
AFJ427 LO Pui Man, Joyce 羅珮文 RE Advising on Securities 2006-08-28 2009-07-02
AFJ442 MC GRATH William Jude 馬格比利 RO Dealing in Securities 2003-04-01 2005-08-23
AFJ442 MC GRATH William Jude 馬格比利 RO Advising on Securities 2003-04-01 2005-08-23
AFJ442 MC GRATH William Jude 馬格比利 RO Providing Automated Trading Services 2003-04-01 2003-09-01
AFK088 HEMMINGS Lee Kerry RE Dealing in Securities 2007-07-03 2008-03-03
AFK088 HEMMINGS Lee Kerry RO Dealing in Securities 2008-03-03 2008-09-29
AFK088 HEMMINGS Lee Kerry RE Dealing in Futures Contracts 2007-07-03 2008-03-03
AFK088 HEMMINGS Lee Kerry RO Dealing in Futures Contracts 2008-03-03 2008-09-29
AFK837 LEE Seokyong 李瑞景 RE Dealing in Securities 2003-04-01 2004-02-27
AFK837 LEE Seokyong 李瑞景 RE Advising on Securities 2003-04-01 2003-08-12
AFK837 LEE Seokyong 李瑞景 RE Advising on Corporate Finance 2003-04-01 2003-08-12
AFK837 LEE Seokyong 李瑞景 RE Providing Automated Trading Services 2003-04-01 2003-08-12
AFK837 LEE Seokyong 李瑞景 RE Asset Management 2003-04-01 2003-08-12
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Dealing in Securities 2006-08-04 2008-09-29
AFM920 ZHANG David 張海 RE Advising on Securities 2008-05-26 2008-09-29
AFM920 ZHANG David 張海 RE Advising on Corporate Finance 2008-05-05 2008-09-29
AFQ362 VAN GRIENSVEN Kasper Jan RE Advising on Securities 2006-08-03 2007-10-04
AFQ362 VAN GRIENSVEN Kasper Jan RO Advising on Securities 2007-10-04 2008-07-30
AFQ362 VAN GRIENSVEN Kasper Jan RE Advising on Corporate Finance 2006-08-03 2007-10-04
AFQ362 VAN GRIENSVEN Kasper Jan RO Advising on Corporate Finance 2007-10-04 2008-07-30
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Securities 2003-04-24 2006-04-28
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Securities 2006-11-27 2008-09-29
AFQ412 O'MEARA Christopher James Sidney RO Dealing in Securities 2006-04-28 2006-11-27
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Futures Contracts 2003-04-24 2005-04-27
AFQ412 O'MEARA Christopher James Sidney RO Dealing in Futures Contracts 2005-04-27 2008-09-29
AFQ412 O'MEARA Christopher James Sidney RE Providing Automated Trading Services 2003-06-03 2003-09-19
AFQ736 LAM Chuk Nga, Lana 林竹雅 RE Dealing in Securities 2007-08-10 2008-05-21
AFQ736 LAM Chuk Nga, Lana 林竹雅 RE Dealing in Futures Contracts 2007-08-10 2008-05-21
AFQ741 WONG Marco Chi Duen RE Advising on Securities 2003-04-01 2008-09-29
AFQ741 WONG Marco Chi Duen RE Advising on Corporate Finance 2003-04-01 2008-09-29
AFQ741 WONG Marco Chi Duen RE Asset Management 2003-04-01 2003-08-09
AFR066 LEE Chun Wah 李俊華 RE Advising on Securities 2003-04-01 2003-11-17
AFR066 LEE Chun Wah 李俊華 RE Advising on Corporate Finance 2003-04-01 2003-08-09
AFR066 LEE Chun Wah 李俊華 RE Asset Management 2003-04-01 2003-08-09
AFR270 LI Yee Yean, Yvonne 李宜然 RE Dealing in Securities 2004-06-16 2008-03-11
AFR296 NASEER Jahanzeb RE Dealing in Securities 2007-04-30 2008-03-04
AFR296 NASEER Jahanzeb RE Dealing in Futures Contracts 2007-04-30 2008-03-04
AFR325 GILLMAN Richard Formby RE Advising on Securities 2007-05-09 2008-09-29
AFR325 GILLMAN Richard Formby RE Advising on Corporate Finance 2007-05-09 2008-09-29
AFR449 LO Michael Sai Cheong 盧世昌 RE Advising on Securities 2006-05-24 2008-09-29
AFR464 CHOON Yew Khee 秦耀奇 RE Dealing in Securities 2006-07-24 2008-03-05
AFR464 CHOON Yew Khee 秦耀奇 RE Advising on Securities 2006-07-24 2008-03-05
AFR721 YAP Chin Yee 叶君瑜 RE Dealing in Securities 2003-04-01 2008-03-18
AFR721 YAP Chin Yee 叶君瑜 RE Advising on Securities 2003-04-01 2003-08-09
AFR721 YAP Chin Yee 叶君瑜 RE Advising on Corporate Finance 2003-04-01 2003-08-09
AFR721 YAP Chin Yee 叶君瑜 RE Providing Automated Trading Services 2003-04-01 2003-08-09
AFR721 YAP Chin Yee 叶君瑜 RE Asset Management 2003-04-01 2003-08-09
AFS914 LEE Wang Kwong 李泓廣 RE Advising on Securities 2004-08-20 2008-09-23
AFT275 ALDEEN Chihiro RE Dealing in Securities 2003-04-01 2008-09-29
AFT275 ALDEEN Chihiro RE Advising on Securities 2003-04-01 2003-08-12
AFT275 ALDEEN Chihiro RE Advising on Corporate Finance 2003-04-01 2003-08-12
AFT275 ALDEEN Chihiro RE Providing Automated Trading Services 2003-04-01 2003-08-12
AFT275 ALDEEN Chihiro RE Asset Management 2003-04-01 2003-08-12
AFT473 LAU Bernard Yu Kwan 劉宇鈞 RE Dealing in Securities 2006-08-21 2008-09-29
AFT473 LAU Bernard Yu Kwan 劉宇鈞 RE Advising on Securities 2003-04-01 2008-09-29
AFT473 LAU Bernard Yu Kwan 劉宇鈞 RE Advising on Corporate Finance 2003-04-01 2003-08-13
AFT473 LAU Bernard Yu Kwan 劉宇鈞 RE Asset Management 2003-04-01 2003-08-13
AFT958 WONG Carolyn Yuk Cheung 黃旭鏘 RE Dealing in Securities 2003-05-13 2006-02-20
AFU845 YU Ming Lai 余明麗 RE Advising on Securities 2003-08-15 2006-04-10
AFU845 YU Ming Lai 余明麗 RO Advising on Securities 2006-04-10 2006-04-22
AFV517 KIM Thomas Sang RE Advising on Securities 2006-08-04 2007-06-08
AFV847 CHANG Randy Chung-Hsia 張崇夏 RE Dealing in Securities 2007-08-30 2008-09-29
AFV847 CHANG Randy Chung-Hsia 張崇夏 RE Advising on Corporate Finance 2007-08-30 2008-09-29
AFV890 CHU Wai Kit, Danny 朱偉傑 RE Advising on Securities 2006-09-11 2008-09-29
AFW032 WU Frances 胡穎文 RE Dealing in Securities 2004-07-28 2008-09-29
AFW435 FENG Zhe 馮哲 RE Advising on Securities 2006-07-31 2008-07-09
AFW644 TAN Wei Peng 陳威頻 RE Advising on Securities 2003-04-01 2004-09-27
AFW644 TAN Wei Peng 陳威頻 RE Advising on Corporate Finance 2003-04-01 2004-09-27
AFW644 TAN Wei Peng 陳威頻 RE Asset Management 2003-04-01 2003-08-13
AFY848 ROYDS Thomas Alexander RE Dealing in Securities 2006-09-19 2007-02-08
AGA247 NGAN Bronson Lawrence RE Advising on Securities 2003-04-01 2005-02-15
AGA247 NGAN Bronson Lawrence RE Advising on Corporate Finance 2003-04-01 2003-08-12
AGA247 NGAN Bronson Lawrence RE Asset Management 2003-04-01 2003-08-12
AGA423 CO Liza Yap RE Dealing in Securities 2004-10-12 2005-04-20
AGA423 CO Liza Yap RE Advising on Securities 2003-04-01 2004-10-12
AGA423 CO Liza Yap RE Advising on Corporate Finance 2003-04-01 2003-08-12
AGA423 CO Liza Yap RE Advising on Corporate Finance 2004-10-12 2005-04-20
AGA423 CO Liza Yap RE Asset Management 2003-04-01 2003-08-12
AGA807 YI Eun Young RE Advising on Securities 2005-05-24 2006-05-02
AGA950 SHEK Ho Yin, Leo 石浩然 RE Dealing in Securities 2007-05-04 2008-03-13
AGB123 DU Yanyi 杜延奕 RE Advising on Securities 2007-02-22 2008-09-26
AGB957 VAN DER GRAAF Allard Jan Baptiste Gerrette RE Dealing in Securities 2005-10-03 2008-09-29
AGB957 VAN DER GRAAF Allard Jan Baptiste Gerrette RE Dealing in Futures Contracts 2005-10-03 2008-09-29
AGC561 NG Sze Man, Jessica 吳詩敏 RE Advising on Securities 2003-04-01 2003-06-30
AGC561 NG Sze Man, Jessica 吳詩敏 RE Advising on Corporate Finance 2003-04-01 2003-06-30
AGC561 NG Sze Man, Jessica 吳詩敏 RE Asset Management 2003-04-01 2003-06-30
AGC972 ZHAO Xiao Le 趙曉樂 RE Dealing in Securities 2005-09-15 2005-10-01
AGC976 CHING Yuk Shan, Maggie 程玉珊 RE Dealing in Securities 2006-05-04 2007-02-02
AGD006 PAMULAPATI Lalit Chandra Choudary RE Advising on Securities 2003-04-01 2006-07-20
AGD006 PAMULAPATI Lalit Chandra Choudary RE Advising on Corporate Finance 2003-04-01 2006-07-20
AGD006 PAMULAPATI Lalit Chandra Choudary RE Asset Management 2003-04-01 2003-08-12
AGD976 FREEMAN Daniel Marc RE Advising on Securities 2003-04-01 2003-07-16
AGD976 FREEMAN Daniel Marc RE Advising on Corporate Finance 2003-04-01 2003-07-15
AGD976 FREEMAN Daniel Marc RE Asset Management 2003-04-01 2003-07-15
AGF150 BAKST David S RE Advising on Securities 2003-04-01 2004-07-15
AGF150 BAKST David S RE Advising on Corporate Finance 2003-04-01 2004-07-15
AGF150 BAKST David S RE Asset Management 2003-04-01 2003-08-11
AGF152 LEE Yuan Tse, Edward 李淵智 RE Dealing in Securities 2003-04-01 2005-06-29
AGF152 LEE Yuan Tse, Edward 李淵智 RE Advising on Securities 2003-04-01 2003-08-21
AGF152 LEE Yuan Tse, Edward 李淵智 RO Advising on Securities 2005-01-05 2005-06-16
AGF152 LEE Yuan Tse, Edward 李淵智 RE Advising on Corporate Finance 2003-04-01 2005-06-29
AGF152 LEE Yuan Tse, Edward 李淵智 RE Providing Automated Trading Services 2003-04-01 2003-08-21
AGF152 LEE Yuan Tse, Edward 李淵智 RE Asset Management 2003-04-01 2003-08-21
AGF426 SUN Lu 孫璐 RE Advising on Securities 2003-04-01 2007-03-02
AGF426 SUN Lu 孫璐 RE Advising on Corporate Finance 2003-04-01 2003-08-12
AGF426 SUN Lu 孫璐 RE Asset Management 2003-04-01 2003-08-12
AGG965 BHUTANI Sarabjit Singh RE Dealing in Securities 2008-05-15 2008-10-06
AGG965 BHUTANI Sarabjit Singh RE Advising on Securities 2005-05-04 2008-10-06
AGG965 BHUTANI Sarabjit Singh RE Advising on Corporate Finance 2005-05-04 2008-04-03
AGH130 LI Chun, Elsy 李雋 RE Advising on Securities 2005-07-19 2008-03-07
AGH130 LI Chun, Elsy 李雋 RE Advising on Corporate Finance 2005-07-15 2008-03-07
AGH168 LAU Joseph Han Wai 劉恆瑋 RE Dealing in Securities 2007-07-04 2008-09-29
AGH168 LAU Joseph Han Wai 劉恆瑋 RE Dealing in Futures Contracts 2007-07-04 2008-09-29
AGH852 SIM Soo Yee, Sharon Anne RE Dealing in Securities 2005-08-15 2008-09-29
AGI191 TSUI Hui-Wen 崔惠雯 RE Advising on Securities 2008-03-12 2008-09-29
AGI191 TSUI Hui-Wen 崔惠雯 RE Advising on Corporate Finance 2008-03-12 2008-09-29
AGI794 XIE Wen-Zhao RE Dealing in Securities 2007-05-28 2008-09-29
AGI794 XIE Wen-Zhao RE Dealing in Futures Contracts 2008-03-31 2008-09-29
AGI794 XIE Wen-Zhao RE Advising on Securities 2007-04-10 2008-09-29
AGJ649 NICHOLS David RE Dealing in Securities 2006-09-10 2007-02-15
AGJ649 NICHOLS David RO Dealing in Securities 2007-02-15 2008-09-29
AGK672 LIM Hwee Ghee 林慧儀 RE Advising on Securities 2003-04-01 2007-10-11
AGK672 LIM Hwee Ghee 林慧儀 RE Advising on Corporate Finance 2003-04-01 2003-08-13
AGK672 LIM Hwee Ghee 林慧儀 RE Asset Management 2003-04-01 2003-08-13
AGK901 BROOKER Anthony RE Dealing in Securities 2007-07-25 2008-09-29
AGK901 BROOKER Anthony RE Dealing in Futures Contracts 2007-07-25 2008-09-29
AGM210 LITTELL Christopher James RE Dealing in Securities 2005-06-08 2006-04-28
AGM210 LITTELL Christopher James RE Dealing in Futures Contracts 2005-06-08 2006-04-28
AGM506 CHEUNG Edward Tze Loong 張澤龍 RE Dealing in Securities 2004-08-06 2008-05-21
AGM506 CHEUNG Edward Tze Loong 張澤龍 RE Dealing in Futures Contracts 2004-08-06 2006-04-20
AGM506 CHEUNG Edward Tze Loong 張澤龍 RO Dealing in Futures Contracts 2006-04-20 2008-05-21
AGN589 WONG Chui Shan 黃翠珊 RE Advising on Securities 2003-04-01 2003-06-30
AGN589 WONG Chui Shan 黃翠珊 RE Advising on Corporate Finance 2003-04-01 2003-06-30
AGN589 WONG Chui Shan 黃翠珊 RE Asset Management 2003-04-01 2003-06-30
AGN699 LEE Andrew Kam Wing 李錦榮 RE Advising on Securities 2007-03-23 2008-09-29
AGN913 CHAN Anthony Jen Haw 陳甄灝 RE Advising on Securities 2007-05-28 2008-07-21
AGN913 CHAN Anthony Jen Haw 陳甄灝 RE Advising on Corporate Finance 2007-05-23 2008-07-21
AGN971 CHAUDHRY Anoop 周德禮 RE Advising on Securities 2007-04-23 2008-09-29
AGN971 CHAUDHRY Anoop 周德禮 RE Advising on Corporate Finance 2007-04-23 2008-09-29
AGR041 TAN Chor Leng RE Advising on Securities 2003-04-01 2003-10-07
AGR041 TAN Chor Leng RE Advising on Corporate Finance 2003-04-01 2003-08-13
AGR041 TAN Chor Leng RE Asset Management 2003-04-01 2003-08-13
AGV321 AU Wai Ming, Stephen 區偉明 RE Advising on Securities 2003-04-01 2005-09-10
AGV321 AU Wai Ming, Stephen 區偉明 RE Advising on Corporate Finance 2003-04-01 2003-08-11
AGV321 AU Wai Ming, Stephen 區偉明 RE Asset Management 2003-04-01 2003-08-11
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Dealing in Securities 2008-04-10 2008-09-29
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Dealing in Futures Contracts 2008-04-10 2008-09-29
AGW405 YOON Yong Cheul RE Dealing in Securities 2003-04-01 2003-08-20
AGW405 YOON Yong Cheul RE Advising on Securities 2003-04-01 2004-07-21
AGW405 YOON Yong Cheul RE Advising on Corporate Finance 2003-04-01 2003-08-20
AGW405 YOON Yong Cheul RE Providing Automated Trading Services 2003-04-01 2003-08-20
AGW405 YOON Yong Cheul RE Asset Management 2003-04-01 2003-08-20
AGX020 RYAN Jonathan David RE Dealing in Securities 2004-05-03 2008-09-29
AGX020 RYAN Jonathan David RE Dealing in Futures Contracts 2004-05-03 2008-09-29
AGX678 GU Huaiyu 谷懷雨 RE Advising on Securities 2004-11-11 2008-09-29
AGX678 GU Huaiyu 谷懷雨 RE Advising on Corporate Finance 2004-11-11 2008-09-29
AGZ998 GUPTA Rahul RE Dealing in Securities 2008-05-05 2008-09-29
AGZ998 GUPTA Rahul RE Dealing in Futures Contracts 2008-05-14 2008-09-29
AHA566 KIM Ik Soo RE Advising on Securities 2003-04-01 2004-08-31
AHA566 KIM Ik Soo RE Advising on Corporate Finance 2003-04-01 2004-08-31
AHA566 KIM Ik Soo RE Asset Management 2003-04-01 2003-08-12
AHA591 HONG Patrick RE Dealing in Securities 2005-12-01 2008-09-29
AHA591 HONG Patrick RE Advising on Corporate Finance 2005-12-01 2008-09-29
AHC163 HUI Siying, Serena 許世瑛 RE Dealing in Securities 2003-04-01 2004-07-30
AHC163 HUI Siying, Serena 許世瑛 RE Advising on Securities 2003-04-01 2003-08-12
AHC163 HUI Siying, Serena 許世瑛 RE Advising on Corporate Finance 2003-04-01 2003-08-12
AHC163 HUI Siying, Serena 許世瑛 RE Providing Automated Trading Services 2003-04-01 2003-08-12
AHC163 HUI Siying, Serena 許世瑛 RE Asset Management 2003-04-01 2003-08-12
AHC330 SELIG William Louis RE Dealing in Securities 2005-07-20 2007-03-26
AHC330 SELIG William Louis RE Dealing in Futures Contracts 2005-07-22 2007-03-26
AHC346 CHEN Wei 陳蔚 RE Advising on Securities 2003-04-01 2006-04-10
AHC346 CHEN Wei 陳蔚 RE Advising on Corporate Finance 2003-04-01 2006-04-10
AHC346 CHEN Wei 陳蔚 RE Asset Management 2003-04-01 2003-08-12
AHC364 CIELINSKI Mark Alan RE Dealing in Securities 2003-04-01 2008-09-29
AHC364 CIELINSKI Mark Alan RE Dealing in Futures Contracts 2006-08-11 2008-09-29
AHC364 CIELINSKI Mark Alan RE Advising on Securities 2003-04-01 2003-08-09
AHC364 CIELINSKI Mark Alan RE Advising on Corporate Finance 2003-04-01 2003-08-09
AHC364 CIELINSKI Mark Alan RE Providing Automated Trading Services 2003-04-01 2003-09-19
AHC364 CIELINSKI Mark Alan RE Asset Management 2003-04-01 2003-08-09
AHE188 CHEUNG Cheuk Ying, Patricia 張卓凝 RE Dealing in Securities 2008-08-28 2009-02-28
AHE188 CHEUNG Cheuk Ying, Patricia 張卓凝 RE Advising on Securities 2008-08-28 2009-02-28
AHE512 GAITONDE Ghanashyam Lalji RE Advising on Securities 2005-01-17 2008-09-29
AHE512 GAITONDE Ghanashyam Lalji RE Advising on Corporate Finance 2005-01-17 2008-09-29
AHG719 NORRIS Richard RE Dealing in Securities 2006-05-19 2008-09-29
AHG719 NORRIS Richard RE Dealing in Futures Contracts 2006-05-19 2008-09-29
AHH557 SIBIA Ranjeet Singh RE Advising on Securities 2003-04-01 2004-12-06
AHH557 SIBIA Ranjeet Singh RE Advising on Corporate Finance 2003-04-01 2004-12-06
AHH557 SIBIA Ranjeet Singh RE Asset Management 2003-04-01 2003-08-12
AHK042 WU Zhigang 吳志剛 RE Dealing in Securities 2006-06-26 2008-09-29
AHK489 LIEM Christopher RE Dealing in Securities 2006-10-26 2008-09-29
AHK489 LIEM Christopher RE Dealing in Futures Contracts 2006-10-26 2008-09-29
AHK681 LAU Lik Alaric 劉力 RE Dealing in Securities 2003-04-01 2008-09-29
AHK681 LAU Lik Alaric 劉力 RE Advising on Securities 2003-04-01 2003-08-12
AHK681 LAU Lik Alaric 劉力 RE Advising on Corporate Finance 2003-04-01 2003-08-12
AHK681 LAU Lik Alaric 劉力 RE Providing Automated Trading Services 2003-04-01 2003-08-12
AHK681 LAU Lik Alaric 劉力 RE Asset Management 2003-04-01 2003-08-12
AHK970 LEE Myung Won 李明遠 RE Dealing in Securities 2004-07-20 2007-07-04
AHL501 HELLAWELL III George Alan RE Advising on Securities 2003-04-01 2005-07-20
AHL501 HELLAWELL III George Alan RO Advising on Securities 2005-07-20 2006-02-20
AHL501 HELLAWELL III George Alan RE Advising on Corporate Finance 2003-04-01 2003-08-13
AHL501 HELLAWELL III George Alan RE Asset Management 2003-04-01 2003-08-13
AHN068 CHUA Yu Min RE Advising on Securities 2003-04-01 2005-08-12
AHN068 CHUA Yu Min RE Advising on Securities 2006-09-12 2008-09-29
AHN068 CHUA Yu Min RE Advising on Corporate Finance 2003-04-01 2005-08-12
AHN068 CHUA Yu Min RE Advising on Corporate Finance 2006-09-12 2008-09-29
AHN068 CHUA Yu Min RE Asset Management 2003-04-01 2003-08-12
AHN533 PARRY Giles Hubert RE Dealing in Securities 2007-04-17 2008-09-29
AHN977 GUO Jung Rong 郭忠榮 RE Dealing in Securities 2008-05-20 2008-09-29
AHN977 GUO Jung Rong 郭忠榮 RE Advising on Securities 2008-05-20 2008-09-29
AHP734 SNG Mei-Yin, Sharon RE Advising on Securities 2003-04-01 2003-07-16
AHP734 SNG Mei-Yin, Sharon RE Advising on Corporate Finance 2003-04-01 2003-07-16
AHP734 SNG Mei-Yin, Sharon RE Asset Management 2003-04-01 2003-07-15
AHQ959 LI Bing 李冰 RE Advising on Securities 2007-04-16 2008-09-29
AHQ959 LI Bing 李冰 RE Advising on Corporate Finance 2007-04-16 2008-09-29
AHS150 GOFF John Swafford RE Dealing in Securities 2008-06-06 2008-09-29
AHS150 GOFF John Swafford RE Dealing in Futures Contracts 2008-06-18 2008-09-29
AHS996 WOO Charles Kun RE Dealing in Securities 2003-04-01 2003-10-07
AHS996 WOO Charles Kun RE Advising on Securities 2003-04-01 2003-08-09
AHS996 WOO Charles Kun RE Advising on Corporate Finance 2003-04-01 2003-08-09
AHS996 WOO Charles Kun RE Providing Automated Trading Services 2003-04-01 2003-08-09
AHS996 WOO Charles Kun RE Asset Management 2003-04-01 2003-08-09
AHU911 LIN Rex Hsie-Ching RE Dealing in Securities 2005-04-19 2005-08-18
AHU911 LIN Rex Hsie-Ching RE Dealing in Securities 2007-11-15 2008-05-21
AHX011 KAROONYAVANICH Anuruk RE Dealing in Securities 2007-04-12 2008-09-29
AHX011 KAROONYAVANICH Anuruk RE Advising on Securities 2003-04-01 2005-10-20
AHX011 KAROONYAVANICH Anuruk RE Advising on Corporate Finance 2003-04-01 2005-10-20
AHX011 KAROONYAVANICH Anuruk RE Advising on Corporate Finance 2007-04-12 2008-09-29
AHX011 KAROONYAVANICH Anuruk RE Asset Management 2003-04-01 2003-08-14
AHX631 NG Stephen Ming 吳兆銘 RE Advising on Securities 2007-04-11 2008-04-28
AHX631 NG Stephen Ming 吳兆銘 RE Advising on Corporate Finance 2007-04-11 2008-04-28
AHY019 CHAN Chun Kei, Kelvin 陳俊祺 RE Advising on Securities 2003-04-01 2006-04-27
AHY019 CHAN Chun Kei, Kelvin 陳俊祺 RE Advising on Corporate Finance 2003-04-01 2003-08-09
AHY019 CHAN Chun Kei, Kelvin 陳俊祺 RE Asset Management 2003-04-01 2003-08-09
AHZ630 HUANG Yiting 黃奕亭 RE Advising on Securities 2006-10-20 2008-09-29
AHZ630 HUANG Yiting 黃奕亭 RE Advising on Corporate Finance 2006-10-20 2008-09-29
AIB369 QUAN Qiang 全強 RE Advising on Securities 2003-04-01 2003-10-28
AIB369 QUAN Qiang 全強 RE Advising on Corporate Finance 2003-04-01 2003-10-28
AIB369 QUAN Qiang 全強 RE Asset Management 2003-04-01 2003-08-13
AIB404 LEONG Gregory Scott 李仕榮 RE Dealing in Securities 2005-09-22 2005-09-30
AIB404 LEONG Gregory Scott 李仕榮 RE Advising on Corporate Finance 2005-09-22 2005-09-30
AIB938 KIM Susan Eun RE Dealing in Securities 2008-08-14 2008-09-29
AIB938 KIM Susan Eun RE Dealing in Futures Contracts 2008-08-14 2008-09-29
AIC255 COOK Stephen Gerald RE Dealing in Securities 2008-08-20 2008-09-10
AIC255 COOK Stephen Gerald RE Dealing in Futures Contracts 2008-08-20 2008-09-10
AIC497 CHEN Scott RE Advising on Securities 2003-04-01 2008-09-29
AIC497 CHEN Scott RE Advising on Corporate Finance 2003-04-01 2008-09-29
AIC497 CHEN Scott RE Asset Management 2003-04-01 2003-08-12
AID159 MAK Yuen Man, Marian 麥沅雯 RE Dealing in Securities 2005-03-10 2007-04-10
AID159 MAK Yuen Man, Marian 麥沅雯 RE Advising on Securities 2003-04-01 2005-03-10
AID159 MAK Yuen Man, Marian 麥沅雯 RE Advising on Corporate Finance 2003-04-01 2007-04-10
AID159 MAK Yuen Man, Marian 麥沅雯 RE Asset Management 2003-04-01 2003-08-21
AID230 WANG Fang 王芳 RE Dealing in Securities 2006-08-22 2008-09-29
AID230 WANG Fang 王芳 RE Dealing in Futures Contracts 2006-08-22 2008-09-29
AID230 WANG Fang 王芳 RE Advising on Securities 2003-04-01 2008-09-29
AID230 WANG Fang 王芳 RE Advising on Corporate Finance 2003-04-01 2003-08-09
AID230 WANG Fang 王芳 RE Asset Management 2003-04-01 2003-08-09
AIE773 QUAN Hong 全弘 RE Advising on Securities 2003-04-01 2004-05-10
AIE773 QUAN Hong 全弘 RE Advising on Corporate Finance 2003-04-01 2004-05-10
AIE773 QUAN Hong 全弘 RE Asset Management 2003-04-01 2003-08-12
AIH186 YEUNG Hau Kin 楊孝堅 RE Advising on Securities 2005-04-19 2006-07-29
AIH465 KUO Lun-Hung Reynold 郭倫宏 RE Advising on Securities 2003-04-01 2003-05-30
AIH465 KUO Lun-Hung Reynold 郭倫宏 RE Advising on Corporate Finance 2003-04-01 2003-05-30
AIH465 KUO Lun-Hung Reynold 郭倫宏 RE Asset Management 2003-04-01 2003-05-30
AII679 EL-HABEL Fawaz Sobhi RE Dealing in Securities 2007-04-11 2008-05-29
AII679 EL-HABEL Fawaz Sobhi RE Dealing in Futures Contracts 2007-04-11 2007-12-31
AIL062 FLETCHER Luke RE Dealing in Securities 2004-09-13 2006-02-07
AIL062 FLETCHER Luke RE Dealing in Securities 2007-05-25 2008-09-29
AIL062 FLETCHER Luke RE Dealing in Futures Contracts 2004-09-13 2006-02-07
AIL062 FLETCHER Luke RE Dealing in Futures Contracts 2007-05-25 2008-09-29
AIN992 HINDLE Leon Miller RE Dealing in Securities 2003-04-01 2008-09-29
AIN992 HINDLE Leon Miller RE Advising on Securities 2003-04-01 2003-08-14
AIN992 HINDLE Leon Miller RE Advising on Corporate Finance 2003-04-01 2003-08-14
AIN992 HINDLE Leon Miller RE Providing Automated Trading Services 2003-04-01 2003-08-14
AIN992 HINDLE Leon Miller RE Asset Management 2003-04-01 2003-08-14
AIO977 PAGE Keith Emery RE Dealing in Securities 2004-07-26 2004-08-25
AIO977 PAGE Keith Emery RE Dealing in Futures Contracts 2004-07-26 2004-08-25
AIQ970 HIGHFIELD Tucker Montana RE Dealing in Securities 2003-04-16 2004-05-25
AIQ970 HIGHFIELD Tucker Montana RE Advising on Corporate Finance 2003-04-16 2004-05-25
AIR658 SUZAT Alexis Dominique RE Dealing in Securities 2006-10-03 2008-03-04
AIR658 SUZAT Alexis Dominique RE Dealing in Futures Contracts 2007-03-13 2008-03-04
AIR817 CORTES Jose III Valencia RE Dealing in Securities 2006-11-27 2008-09-29
AIR817 CORTES Jose III Valencia RE Advising on Securities 2006-07-12 2008-09-29
AIU760 MACK Peter Charles RE Dealing in Securities 2007-09-06 2008-03-12
AIU760 MACK Peter Charles RE Advising on Securities 2007-09-06 2008-03-12
AIU783 GE Xuehui 葛雪暉 RE Dealing in Securities 2006-04-04 2007-02-07
AIU783 GE Xuehui 葛雪暉 RE Advising on Corporate Finance 2006-04-06 2007-02-07
AIZ368 WERNLI Michelle Suzanne RE Advising on Securities 2003-06-19 2004-08-31
AJA305 BURGESS Matthew RE Dealing in Securities 2008-02-25 2008-09-29
AJA305 BURGESS Matthew RE Dealing in Futures Contracts 2008-02-25 2008-09-29
AJB405 MAHADEVAN Suresh Ayodya RE Advising on Securities 2003-08-06 2005-05-20
AJB639 MOU Alex Xinghai RE Advising on Securities 2003-08-15 2004-09-01
AJC319 EGLISKIS David Walter RE Dealing in Securities 2003-12-08 2007-07-07
AJC319 EGLISKIS David Walter RE Dealing in Futures Contracts 2006-06-20 2007-07-07
AJD378 SHIN Ju Young RE Advising on Securities 2003-10-13 2006-03-10
AJD396 LU Ying-chang 呂穎彰 RE Advising on Securities 2007-07-26 2008-01-14
AJD476 CROFT Ian Richard RE Dealing in Securities 2003-10-13 2008-09-29
AJD749 LOW Kenneth Meng Ee RE Advising on Securities 2003-10-22 2006-08-14
AJD749 LOW Kenneth Meng Ee RE Advising on Securities 2007-09-24 2008-09-29
AJD749 LOW Kenneth Meng Ee RE Advising on Corporate Finance 2003-10-22 2006-08-14
AJD749 LOW Kenneth Meng Ee RE Advising on Corporate Finance 2007-09-24 2008-09-29
AJD965 ZHAO Yu 趙瑜 RE Advising on Securities 2004-02-16 2004-05-10
AJD965 ZHAO Yu 趙瑜 RE Advising on Corporate Finance 2004-02-16 2004-05-10
AJD966 WU Lici Leon Edward 伍禮慈 RE Dealing in Securities 2003-11-06 2004-06-25
AJD966 WU Lici Leon Edward 伍禮慈 RE Dealing in Futures Contracts 2003-11-06 2004-06-25
AJD976 WONG Man Chun, Anthony 黃文俊 RE Dealing in Securities 2004-04-10 2006-08-14
AJE082 LEUNG Wing Chong 梁穎聰 RE Advising on Securities 2008-04-18 2008-09-29
AJE093 LEO Peck Chao 梁弼釗 RE Dealing in Securities 2003-10-24 2004-02-18
AJE093 LEO Peck Chao 梁弼釗 RE Dealing in Securities 2008-01-30 2008-09-29
AJE275 TWEEBOOM Norman Lionel RE Advising on Securities 2003-11-25 2004-06-25
AJE275 TWEEBOOM Norman Lionel RE Advising on Securities 2005-08-15 2008-09-29
AJE577 GUPTA Ashutosh RE Dealing in Securities 2003-11-26 2008-09-29
AJE583 LIM Edmund Kim San 林金山 RE Advising on Securities 2003-11-07 2008-09-29
AJE583 LIM Edmund Kim San 林金山 RE Advising on Corporate Finance 2003-11-07 2008-09-29
AJF288 TAI Ming Zhe 戴明哲 RE Advising on Securities 2003-12-09 2004-03-15
AJF289 RYOO Hee Jung 柳希姃 RE Advising on Securities 2003-12-09 2004-05-21
AJF328 UPADHYAY Saurabh RE Dealing in Securities 2003-12-09 2008-09-29
AJF371 AU Tin Wai 區天偉 RE Dealing in Securities 2004-05-15 2006-07-06
AJJ630 SARGEANT Pierre Gregory RE Advising on Securities 2004-01-13 2004-09-03
AJK539 HOLT Sue Lin RE Dealing in Securities 2004-02-18 2008-09-29
AJK539 HOLT Sue Lin RE Advising on Corporate Finance 2004-02-18 2008-09-29
AJK607 CHWEI Mein Sze 徐敏思 RE Advising on Securities 2004-02-18 2006-04-21
AJK635 SUN Xiaowu 孫曉悟 RE Dealing in Securities 2006-01-11 2006-12-16
AJK953 CHUANG Mei 莊美 RE Dealing in Securities 2005-03-31 2006-02-13
AJL224 DUBOIS-PHILLIPS Jonathan Edward RE Advising on Securities 2004-03-09 2006-07-01
AJL412 FUNG Yui Hang, Eugene 馮睿恆 RE Dealing in Securities 2004-03-15 2008-09-13
AJL412 FUNG Yui Hang, Eugene 馮睿恆 RE Dealing in Futures Contracts 2005-08-25 2008-09-13
AJL418 SHENG Wei-Ting 盛薇庭 RE Dealing in Securities 2004-04-19 2005-10-05
AJL427 GHIA Manish Hasmukh RE Dealing in Securities 2004-02-09 2007-03-19
AJL427 GHIA Manish Hasmukh RE Dealing in Futures Contracts 2006-06-15 2007-03-19
AJL491 LAU Ching Yin, Justin 劉正賢 RE Advising on Securities 2005-04-01 2008-09-29
AJN777 LO Kathleen Oikay 盧藹琪 RE Dealing in Securities 2006-06-02 2008-09-29
AJN777 LO Kathleen Oikay 盧藹琪 RE Dealing in Futures Contracts 2006-06-02 2008-09-29
AJN952 BOURGEOIS Eva Maria RE Dealing in Securities 2008-06-06 2008-09-29
AJN952 BOURGEOIS Eva Maria RE Dealing in Futures Contracts 2008-06-26 2008-09-29
AJO196 WONG Anson Gong Wah 黃江華 RE Dealing in Securities 2007-05-29 2008-09-29
AJO196 WONG Anson Gong Wah 黃江華 RE Dealing in Futures Contracts 2007-05-29 2008-09-29
AJO315 NIRMALANANDA Logan Siva RE Dealing in Securities 2004-03-19 2007-05-14
AJO315 NIRMALANANDA Logan Siva RE Dealing in Futures Contracts 2004-03-19 2007-05-14
AJT911 CHAN Sau Chi, Gigi 陳秀沚 RE Dealing in Securities 2004-03-26 2005-09-12
AJX178 HONG Joonkee 洪俊基 RE Dealing in Securities 2005-04-15 2008-09-29
AJX178 HONG Joonkee 洪俊基 RE Advising on Corporate Finance 2005-04-15 2008-09-29
AKI258 CHANG Koon Kwun, Esther 張冠羣 RE Dealing in Securities 2004-03-31 2005-04-07
AKL748 CHEN Junyu 陳軍余 RE Dealing in Securities 2006-08-21 2007-06-19
AKL748 CHEN Junyu 陳軍余 RE Advising on Securities 2004-04-26 2007-06-19
AKP035 PERRETT Adam Nicholas 龐立德 RE Dealing in Securities 2004-05-14 2006-04-11
AKP035 PERRETT Adam Nicholas 龐立德 RO Advising on Securities 2005-01-10 2006-04-11
AKP035 PERRETT Adam Nicholas 龐立德 RE Advising on Corporate Finance 2004-05-14 2006-04-11
AKP037 YU Choi Yan 余彩欣 RE Advising on Securities 2004-05-13 2005-06-22
AKP199 SHIN Stephen Hyunsang 申鉉尚 RE Dealing in Securities 2005-07-11 2005-11-14
AKP199 SHIN Stephen Hyunsang 申鉉尚 RE Dealing in Securities 2006-05-30 2007-07-01
AKP199 SHIN Stephen Hyunsang 申鉉尚 RE Advising on Corporate Finance 2005-07-15 2005-11-14
AKP199 SHIN Stephen Hyunsang 申鉉尚 RE Advising on Corporate Finance 2006-05-30 2007-07-01
AKP276 CORRY Nicolas Daniel RE Dealing in Securities 2004-05-17 2006-02-02
AKP276 CORRY Nicolas Daniel RE Dealing in Futures Contracts 2004-05-17 2006-02-02
AKP354 LEE Jae Young 李在英 RE Dealing in Securities 2004-05-17 2005-01-01
AKP556 GAO Hui 高暉 RE Dealing in Securities 2007-06-06 2008-03-18
AKP556 GAO Hui 高暉 RE Advising on Securities 2004-05-18 2008-03-18
AKR467 LEUNG Wai Kei 梁偉基 RE Dealing in Securities 2008-05-30 2008-09-29
AKR467 LEUNG Wai Kei 梁偉基 RE Dealing in Futures Contracts 2008-06-25 2008-09-29
AKS596 ANDREW Simon Malcolm RE Dealing in Securities 2004-05-24 2006-02-22
AKS773 CHEUNG Chau-yip, Kitty 張秋葉 RE Dealing in Securities 2006-08-02 2008-09-29
AKU262 DIAN Wei 賃薇 RE Dealing in Securities 2004-06-11 2005-01-21
AKU262 DIAN Wei 賃薇 RE Dealing in Securities 2005-02-08 2005-08-31
AKU262 DIAN Wei 賃薇 RE Dealing in Securities 2007-06-07 2008-03-13
AKU344 RANJAN Rajeev RE Dealing in Securities 2007-07-09 2008-09-29
AKU344 RANJAN Rajeev RE Dealing in Futures Contracts 2007-07-09 2008-09-29
AKV057 LIU Hong 劉洪 RE Advising on Securities 2004-06-16 2005-05-20
AKV062 TAY Teck How 鄭德豪 RE Dealing in Securities 2004-06-15 2008-09-29
AKV148 LAU Kit Yee, Jasper 劉潔怡 RE Advising on Securities 2004-06-21 2004-09-03
AKW600 BIHANI Sundeep RE Advising on Securities 2004-06-24 2008-03-31
AKX538 GOURMELEN Arnaud RE Dealing in Securities 2008-08-20 2008-09-29
AKX538 GOURMELEN Arnaud RE Dealing in Futures Contracts 2008-08-20 2008-09-29
AKX538 GOURMELEN Arnaud RE Advising on Securities 2008-08-20 2008-09-29
ALA854 SUN George H 孫鴻志 RE Dealing in Securities 2007-08-27 2008-09-29
ALB240 THAI Thanh Hung RE Dealing in Securities 2004-08-04 2008-07-01
ALB800 MA Yue 馬越 RE Advising on Securities 2004-08-09 2006-07-15
ALC812 GE Ning 葛宁 RE Advising on Securities 2004-08-20 2007-11-28
ALC812 GE Ning 葛宁 RE Advising on Corporate Finance 2004-08-20 2007-11-28
ALD396 PENG Yanyan 彭燕燕 RE Advising on Securities 2006-06-08 2008-09-29
ALD602 TSANG Ka Kin 曾家健 RE Advising on Securities 2004-08-26 2007-08-06
ALD602 TSANG Ka Kin 曾家健 RE Advising on Securities 2008-08-28 2008-09-29
ALD602 TSANG Ka Kin 曾家健 RE Advising on Corporate Finance 2004-08-26 2007-08-06
ALD602 TSANG Ka Kin 曾家健 RE Advising on Corporate Finance 2008-08-28 2008-09-29
ALF227 WATTS Nigel Owen RE Dealing in Securities 2007-04-25 2008-09-09
ALF227 WATTS Nigel Owen RE Dealing in Futures Contracts 2007-05-08 2008-09-09
ALF260 HUANG Jiaying 黃佳瑩 RE Advising on Securities 2007-05-04 2008-09-29
ALF303 HUSSAIN Yasmin RE Advising on Securities 2004-09-06 2008-09-29
ALF476 BROWN Bahar RE Dealing in Securities 2006-07-24 2008-09-29
ALF476 BROWN Bahar RE Dealing in Futures Contracts 2006-07-24 2008-09-29
ALF923 TAN Bok Chuan 陳木泉 RE Advising on Securities 2004-09-16 2006-06-06
ALG236 KAYE Patrick Jon RE Dealing in Securities 2007-06-06 2008-09-29
ALG236 KAYE Patrick Jon RE Dealing in Futures Contracts 2008-07-24 2008-09-29
ALG236 KAYE Patrick Jon RE Advising on Securities 2004-09-22 2008-09-29
ALG423 CHOW Sai Yiu, Evan 周世耀 RE Dealing in Securities 2007-02-06 2009-03-24
ALG423 CHOW Sai Yiu, Evan 周世耀 RE Advising on Securities 2007-02-06 2009-03-24
ALG446 ZHU Feifei 朱晓菲 RE Advising on Securities 2006-08-04 2008-09-29
ALG446 ZHU Feifei 朱晓菲 RE Advising on Corporate Finance 2006-08-04 2008-09-29
ALH715 HSI Han Pin 許翰斌 RE Advising on Securities 2004-09-27 2007-03-01
ALI016 XU Ping 徐萍 RE Advising on Securities 2004-10-05 2008-09-29
ALI017 SINGH Chiranjeet RE Dealing in Securities 2008-03-04 2008-09-29
ALI017 SINGH Chiranjeet RE Dealing in Futures Contracts 2008-03-04 2008-09-29
ALI359 UAHWATANASAKUL Kalaya 余舜茵 RE Dealing in Securities 2007-05-15 2008-09-13
ALI359 UAHWATANASAKUL Kalaya 余舜茵 RE Advising on Securities 2004-10-12 2008-09-13
ALI373 ALEXANDER Charles Alan Heathcote RE Advising on Securities 2004-10-12 2005-07-15
ALI373 ALEXANDER Charles Alan Heathcote RO Advising on Securities 2005-07-15 2008-02-01
ALI373 ALEXANDER Charles Alan Heathcote RE Advising on Corporate Finance 2004-10-12 2004-12-21
ALI373 ALEXANDER Charles Alan Heathcote RO Advising on Corporate Finance 2004-12-21 2008-02-01
ALI396 CHU Wai Ping 朱惠萍 RE Advising on Securities 2004-10-20 2005-05-06
ALI505 MCCAUGHEY James Duncan RE Dealing in Securities 2004-10-18 2005-04-07
ALI539 KAN Paul Wei Hung 甘偉恆 RE Dealing in Securities 2005-10-03 2008-03-14
ALJ833 PANG Eric Kwok Lik 彭國力 RE Dealing in Securities 2004-11-01 2008-09-29
ALJ833 PANG Eric Kwok Lik 彭國力 RE Dealing in Futures Contracts 2005-08-25 2008-09-29
ALJ848 OH Seung Joo 吳昇宙 RE Dealing in Securities 2004-11-01 2005-06-17
ALJ848 OH Seung Joo 吳昇宙 RE Dealing in Securities 2005-09-26 2008-04-15
ALJ848 OH Seung Joo 吳昇宙 RE Advising on Corporate Finance 2004-11-01 2005-06-17
ALJ848 OH Seung Joo 吳昇宙 RE Advising on Corporate Finance 2005-09-26 2008-04-15
ALK243 ZHOU Xiaoyin 周晓殷 RE Dealing in Securities 2006-04-11 2007-05-29
ALK797 Ho Man Yiu, Arion 何汶叡 RE Dealing in Securities 2008-05-29 2008-09-29
ALK797 Ho Man Yiu, Arion 何汶叡 RE Dealing in Futures Contracts 2008-05-29 2008-09-29
ALK999 TAN Bo RE Advising on Securities 2006-03-16 2007-03-31
ALL057 LIN Chao-Hua 林超驊 RE Dealing in Securities 2007-06-06 2008-09-29
ALL057 LIN Chao-Hua 林超驊 RE Advising on Securities 2004-11-11 2008-09-29
ALO489 TANG Qian 唐倩 RE Advising on Securities 2006-08-22 2007-03-19
ALP982 KIM Dean Chang-Hun RE Advising on Securities 2005-08-22 2007-04-03
ALQ136 GARRETT Adam Guy Orlebar 蓋首男 RE Dealing in Securities 2005-01-10 2008-09-29
ALQ136 GARRETT Adam Guy Orlebar 蓋首男 RE Dealing in Futures Contracts 2005-01-10 2008-09-29
ALQ283 IRELAND Simon John RE Dealing in Securities 2005-01-14 2008-06-02
ALQ554 LAI Fung Sin, Miranda 黎鳳仙 RE Advising on Securities 2005-09-22 2006-03-02
ALQ696 RAWAT Abhishek RE Advising on Securities 2005-01-20 2005-03-24
ALQ958 TAN Yun Yang 陳韻揚 RE Dealing in Securities 2005-01-26 2006-07-29
ALQ960 LIN Stella RE Dealing in Securities 2005-01-26 2005-04-27
ALQ965 LING Chung Yee, Roy 林中一 RE Advising on Securities 2005-01-26 2005-09-09
ALQ965 LING Chung Yee, Roy 林中一 RE Advising on Corporate Finance 2005-01-26 2005-09-09
ALR009 FELLAS Lewis John RE Dealing in Securities 2005-09-21 2006-08-14
ALR009 FELLAS Lewis John RE Dealing in Futures Contracts 2005-11-30 2006-08-14
ALR017 WANG Jianyang 汪建阳 RE Advising on Securities 2006-08-04 2007-03-21
ALR680 FUNG Ching Ho, William 馮正可 RE Dealing in Securities 2005-02-01 2008-09-29
ALR680 FUNG Ching Ho, William 馮正可 RE Advising on Corporate Finance 2005-02-01 2008-09-29
ALS060 CHAPMAN James Richard RE Advising on Securities 2005-02-07 2008-09-29
ALS060 CHAPMAN James Richard RE Advising on Corporate Finance 2005-02-07 2008-09-29
ALS062 CHEN Simon Guomin 陳國敏 RE Advising on Securities 2005-02-07 2006-06-02
ALS062 CHEN Simon Guomin 陳國敏 RE Advising on Corporate Finance 2005-02-07 2005-06-20
ALS062 CHEN Simon Guomin 陳國敏 RO Advising on Corporate Finance 2005-06-20 2006-06-02
ALS696 CHAN Ching Yu, Katherine 陳菁瑜 RE Advising on Securities 2005-02-24 2006-07-21
ALU283 TONG Derek Wai Hon 唐偉瀚 RE Dealing in Securities 2007-07-19 2008-09-29
ALU865 LEE Young Seok RE Advising on Securities 2005-03-17 2008-06-30
ALU865 LEE Young Seok RE Advising on Corporate Finance 2005-03-17 2008-06-30
ALV096 MILLEA Timothy Emmett RE Dealing in Securities 2005-03-21 2008-09-29
ALW163 NATH Nikhil RE Advising on Securities 2005-04-06 2007-04-01
ALW163 NATH Nikhil RE Advising on Corporate Finance 2005-04-06 2007-04-01
ALW307 POR Yong Liang 傅永量 RE Advising on Securities 2006-05-16 2008-09-29
ALW388 LEE Yuen Yee, Annisa 李婉儀 RE Advising on Securities 2005-04-11 2008-09-29
ALW391 RAMSEY Michael Ryan RE Dealing in Securities 2007-06-01 2008-09-29
ALW391 RAMSEY Michael Ryan RE Dealing in Futures Contracts 2007-06-01 2008-09-29
ALW485 LAY Richard Donovan RE Dealing in Securities 2005-10-14 2007-09-17
ALW485 LAY Richard Donovan RE Dealing in Futures Contracts 2005-10-14 2007-09-17
ALW734 WAI Pak To, Plato 韋百濤 RE Dealing in Securities 2005-04-21 2008-09-29
ALY118 YANG Mei-Hwei 楊美慧 RE Dealing in Securities 2006-04-06 2008-09-29
ALY151 LIN Yng-Jyh 林盈志 RE Dealing in Securities 2005-04-26 2008-09-29
ALZ714 WEIDLE Daniel William RE Advising on Securities 2005-05-18 2007-03-12
ALZ714 WEIDLE Daniel William RE Advising on Corporate Finance 2005-05-18 2007-03-12
ALZ728 HUI Chi Keung 許志強 RE Advising on Securities 2005-05-18 2005-09-10
ALZ848 WENDEL Christopher Stewart RE Dealing in Securities 2006-07-05 2008-09-29
ALZ848 WENDEL Christopher Stewart RE Dealing in Futures Contracts 2006-07-05 2008-09-29
ALZ916 CHEUNG Leung, Elisa 張亮 RE Dealing in Securities 2008-02-01 2008-09-29
ALZ916 CHEUNG Leung, Elisa 張亮 RE Advising on Securities 2008-02-22 2008-09-29
AMA047 LEE Jung Sun 李政宣 RE Advising on Securities 2005-05-24 2006-04-27
AMA047 LEE Jung Sun 李政宣 RE Advising on Corporate Finance 2005-05-24 2006-04-27
AMB060 TEO Kai Sin RE Advising on Securities 2007-09-24 2008-09-29
AMB744 BRADSHAW Stephanie 李婉青 RE Dealing in Securities 2008-01-22 2008-09-29
AMB744 BRADSHAW Stephanie 李婉青 RE Dealing in Futures Contracts 2008-01-22 2008-09-29
AMC260 KIM David Jaemin RE Advising on Securities 2005-06-15 2008-09-29
AMC260 KIM David Jaemin RE Advising on Corporate Finance 2005-06-15 2008-09-29
AMC671 YEE Derrick 余建豪 RE Advising on Securities 2006-04-27 2008-09-29
AME228 HO Wai Shan, Shanlia 何慧珊 RE Dealing in Securities 2005-06-22 2008-09-29
AME464 MA Dongjun 馬東軍 RE Advising on Securities 2005-06-27 2008-09-29
AME464 MA Dongjun 馬東軍 RE Advising on Corporate Finance 2005-06-27 2008-09-29
AME467 XIE Li 謝犁 RE Advising on Securities 2005-06-27 2007-12-05
AMF013 DOUGLAS David Archibald RE Dealing in Securities 2005-07-06 2006-01-09
AMF013 DOUGLAS David Archibald RO Dealing in Securities 2006-01-09 2008-08-06
AMF013 DOUGLAS David Archibald RE Advising on Corporate Finance 2005-07-06 2006-01-09
AMF013 DOUGLAS David Archibald RO Advising on Corporate Finance 2006-01-09 2008-08-06
AMF325 CHO Michelle Boram RE Advising on Securities 2007-09-14 2008-09-29
AMF462 SCHULZ Michael Stephan RE Dealing in Securities 2006-06-19 2008-03-31
AMF462 SCHULZ Michael Stephan RE Dealing in Futures Contracts 2006-06-19 2008-03-31
AMF516 SHI Lin 石琳 RE Advising on Securities 2005-07-12 2007-08-27
AMF524 LEE James Sungho RE Dealing in Securities 2005-07-12 2008-09-29
AMF524 LEE James Sungho RE Advising on Corporate Finance 2005-07-12 2008-09-29
AMG021 LIN Yuri Yee-Lee RE Dealing in Securities 2005-07-20 2006-04-25
AMG022 HONG Yang-Myung RE Advising on Securities 2005-07-20 2008-09-29
AMG899 WANG Yaqian 王亞謙 RE Advising on Securities 2005-07-20 2008-09-29
AMG899 WANG Yaqian 王亞謙 RE Advising on Corporate Finance 2005-07-20 2008-09-29
AMH157 GOEL Dinesh RE Dealing in Securities 2007-06-18 2008-09-29
AMH157 GOEL Dinesh RE Dealing in Futures Contracts 2008-01-25 2008-09-29
AMH157 GOEL Dinesh RE Advising on Securities 2005-07-22 2008-09-29
AMH709 EVANS Joshua Webb RE Dealing in Securities 2005-08-01 2006-03-24
AMH709 EVANS Joshua Webb RE Dealing in Futures Contracts 2005-08-01 2006-03-24
AMH715 ARNAUDY Anthony John RE Dealing in Securities 2005-08-01 2008-09-29
AMH715 ARNAUDY Anthony John RE Advising on Corporate Finance 2005-08-01 2008-09-29
AMI311 POW Kwong Yan, David 鮑廣恩 RE Advising on Securities 2005-08-04 2005-11-25
AMI313 LAM Kwok Kei, Franco 林國基 RE Advising on Securities 2005-08-04 2006-04-29
AMJ466 HU Bo 胡勃 RE Dealing in Securities 2005-08-16 2006-11-24
AMJ466 HU Bo 胡勃 RE Advising on Corporate Finance 2005-08-16 2006-11-24
AMJ471 LIN Xin 林鑫 RE Dealing in Securities 2005-08-15 2008-09-29
AMJ471 LIN Xin 林鑫 RE Advising on Corporate Finance 2005-08-15 2005-12-07
AMJ476 MARTINEZ ACOSTA Jorge Carlos RE Advising on Securities 2005-08-15 2008-09-29
AMJ476 MARTINEZ ACOSTA Jorge Carlos RE Advising on Corporate Finance 2005-08-15 2008-09-29
AMJ479 GOH Jia Juan, Anne 吳佳娟 RE Dealing in Securities 2005-08-15 2008-09-29
AMJ578 CHOI PARK Jae Won 崔朴在元 RE Dealing in Securities 2008-05-15 2008-09-29
AMJ786 WEI Hao 魏昊 RE Advising on Securities 2005-08-22 2005-10-21
AMK263 TAN Wan Yuan 陳婉圓 RE Dealing in Securities 2005-08-31 2006-09-11
AML294 ZHOU Liping 周麗萍 RE Advising on Securities 2005-09-08 2006-05-19
AML294 ZHOU Liping 周麗萍 RE Advising on Corporate Finance 2005-09-08 2006-05-19
AML439 WENG Hsiao-Wei 翁曉薇 RE Advising on Securities 2005-09-13 2007-08-01
AML439 WENG Hsiao-Wei 翁曉薇 RE Advising on Corporate Finance 2005-09-13 2007-08-01
AML479 TSANG Sze Wai, Claudius 曾思維 RE Dealing in Securities 2007-06-27 2008-04-14
AML479 TSANG Sze Wai, Claudius 曾思維 RE Dealing in Futures Contracts 2007-06-27 2008-04-14
AML649 YEUNG Hiu Chit 楊曉婕 RE Advising on Securities 2005-09-15 2006-05-27
AML649 YEUNG Hiu Chit 楊曉婕 RE Advising on Corporate Finance 2005-09-15 2006-05-27
AML729 CHU Irene, Xiao Ling 朱曉玲 RE Dealing in Securities 2007-05-14 2008-09-29
AML730 KIM Jinyong RE Dealing in Securities 2008-07-14 2008-09-29
AML730 KIM Jinyong RE Advising on Securities 2005-09-15 2005-11-25
AML730 KIM Jinyong RE Advising on Securities 2008-07-14 2008-09-29
AML731 NAI Te-Ling RE Advising on Securities 2005-09-15 2008-09-29
AML731 NAI Te-Ling RE Advising on Corporate Finance 2005-09-15 2008-09-29
AML732 BUDIJONO Ridwan RE Advising on Securities 2005-09-15 2007-02-02
AML732 BUDIJONO Ridwan RE Advising on Corporate Finance 2005-09-15 2007-02-02
AML738 LEUNG Spencer Yu Cheong 梁裕昌 RE Advising on Securities 2005-09-15 2006-04-28
AML738 LEUNG Spencer Yu Cheong 梁裕昌 RE Advising on Securities 2006-05-26 2006-06-22
AML757 OSUGA Aya RE Dealing in Securities 2005-09-15 2006-02-15
AML780 HO Ting Hong, Kenny 何定康 RE Advising on Securities 2005-09-15 2008-03-13
AML780 HO Ting Hong, Kenny 何定康 RE Advising on Corporate Finance 2005-09-15 2008-03-13
AMM043 CHUNG Tak Wai 鍾德偉 RE Dealing in Securities 2006-11-22 2008-11-22
AMM043 CHUNG Tak Wai 鍾德偉 RE Advising on Securities 2005-09-23 2008-11-22
AMM043 CHUNG Tak Wai 鍾德偉 RE Advising on Corporate Finance 2005-09-23 2008-11-22
AMM131 PARK Joohong RE Dealing in Securities 2007-04-25 2008-09-29
AMM131 PARK Joohong RE Dealing in Futures Contracts 2007-04-25 2008-09-29
AMM350 KUMAR Gautam RE Dealing in Securities 2005-09-22 2006-09-14
AMM352 WIMMER Oliver RE Advising on Securities 2005-09-22 2008-05-22
AMM352 WIMMER Oliver RE Advising on Corporate Finance 2005-09-22 2008-05-22
AMM375 YEH Ivan Hanson Shing Yue 葉承諭 RE Dealing in Securities 2005-09-22 2007-03-31
AMN624 TAI Benny RE Dealing in Securities 2007-08-10 2008-05-21
AMN624 TAI Benny RE Dealing in Futures Contracts 2007-08-10 2008-05-21
AMN656 LI Ying Lun, Peter 李英麟 RE Dealing in Securities 2006-08-21 2007-10-14
AMN656 LI Ying Lun, Peter 李英麟 RE Dealing in Securities 2008-04-11 2008-09-29
AMN656 LI Ying Lun, Peter 李英麟 RE Advising on Securities 2005-09-28 2007-10-14
AMN656 LI Ying Lun, Peter 李英麟 RE Advising on Securities 2008-04-11 2008-09-29
AMN709 YANG Hao-Ting 楊皓珽 RE Advising on Securities 2005-10-03 2007-07-30
AMN709 YANG Hao-Ting 楊皓珽 RE Advising on Corporate Finance 2005-10-03 2007-07-30
AMO548 PU Jennifer 蒲心怡 RE Dealing in Securities 2005-10-14 2008-09-29
AMO548 PU Jennifer 蒲心怡 RE Advising on Corporate Finance 2005-10-14 2008-09-29
AMO860 ZHANG Lei 張蕾 RE Advising on Securities 2005-10-17 2008-09-29
AMO860 ZHANG Lei 張蕾 RE Advising on Corporate Finance 2005-10-17 2008-09-29
AMP153 HUANG Jianhai 黃建海 RE Advising on Securities 2007-08-20 2008-04-14
AMP153 HUANG Jianhai 黃建海 RE Advising on Corporate Finance 2007-08-20 2008-04-14
AMP204 WU Wei 吳畏 RE Advising on Securities 2005-10-17 2008-09-29
AMP204 WU Wei 吳畏 RE Advising on Corporate Finance 2005-10-17 2008-09-29
AMP422 CHEN Lei 陳磊 RE Advising on Securities 2005-10-21 2007-12-31
AMP422 CHEN Lei 陳磊 RE Advising on Corporate Finance 2005-10-21 2007-12-31
AMP550 DONG Zhen 董震 RE Advising on Securities 2005-10-25 2006-04-22
AMQ694 PENKETT Paul Alexis RE Dealing in Securities 2005-11-01 2008-08-29
AMQ694 PENKETT Paul Alexis RE Dealing in Futures Contracts 2005-11-01 2008-08-29
AMQ919 TONG Tze Kong 唐梓剛 RE Dealing in Securities 2005-10-31 2008-09-29
AMQ919 TONG Tze Kong 唐梓剛 RE Advising on Corporate Finance 2005-10-31 2008-09-29
AMR501 CHAN Cho Yee, Polly 陳楚薏 RE Dealing in Securities 2008-07-21 2008-09-29
AMS260 JAAN Masood RE Dealing in Securities 2005-11-14 2006-02-02
AMS260 JAAN Masood RE Dealing in Futures Contracts 2005-11-14 2006-02-02
AMS335 CAFFREY Kevin Michael RE Dealing in Securities 2005-11-15 2008-09-27
AMS335 CAFFREY Kevin Michael RE Dealing in Futures Contracts 2005-11-15 2008-09-27
AMS609 SUGASA Dustin Paul RE Dealing in Securities 2005-11-25 2008-09-04
AMS609 SUGASA Dustin Paul RE Dealing in Futures Contracts 2005-11-25 2008-09-04
AMT669 LO Philip 盧偉楷 RE Advising on Securities 2005-11-28 2008-09-29
AMU085 SHEN Dehua 沈德華 RE Dealing in Securities 2005-11-29 2008-09-29
AMU085 SHEN Dehua 沈德華 RE Advising on Corporate Finance 2005-11-29 2008-09-29
AMU466 TENG Fredric Chien Hwa 鄧建華 RE Dealing in Securities 2005-12-07 2008-09-29
AMU466 TENG Fredric Chien Hwa 鄧建華 RE Dealing in Futures Contracts 2005-12-07 2008-09-29
AMU467 WANNENMACHER Tim RE Dealing in Securities 2005-12-09 2008-09-29
AMU467 WANNENMACHER Tim RE Dealing in Futures Contracts 2005-12-09 2008-09-29
AMX199 ZHANG Zhuojia 張卓佳 RE Advising on Securities 2007-01-29 2007-09-11
AMX293 QIAN Steven Jun RE Dealing in Securities 2006-10-04 2008-09-29
AMX293 QIAN Steven Jun RE Dealing in Futures Contracts 2006-10-04 2008-09-29
AMY049 LEE Calvin Chi Toa 李智滔 RE Dealing in Securities 2007-08-01 2008-09-29
AMY049 LEE Calvin Chi Toa 李智滔 RE Advising on Corporate Finance 2007-08-01 2008-09-29
AMY555 TONG Tung Kiu 湯東橋 RE Dealing in Securities 2008-01-23 2008-09-10
AMY555 TONG Tung Kiu 湯東橋 RE Dealing in Futures Contracts 2008-01-23 2008-09-10
AMY959 VERMA Rahul RE Dealing in Securities 2006-01-24 2008-09-29
AMY988 SQUIER Annabel Jane Helen RE Dealing in Securities 2006-01-26 2008-09-29
ANA066 KIM Chul Young RE Advising on Securities 2007-09-12 2008-09-29
ANA066 KIM Chul Young RE Advising on Corporate Finance 2007-09-12 2008-09-29
ANA490 TSUI Shun Lin 徐順蓮 RE Dealing in Securities 2006-02-09 2008-09-29
ANB457 LEE Joseph Won RE Dealing in Securities 2007-10-02 2008-09-29
ANB457 LEE Joseph Won RE Dealing in Futures Contracts 2007-10-02 2008-09-29
ANB463 LO Yue Hin 羅宇軒 RE Dealing in Securities 2006-02-20 2008-09-29
ANB463 LO Yue Hin 羅宇軒 RE Dealing in Futures Contracts 2006-02-20 2008-09-29
ANB806 CHULANI Rohit Madan Mohan RE Dealing in Securities 2007-05-14 2008-09-29
ANB806 CHULANI Rohit Madan Mohan RE Dealing in Futures Contracts 2007-05-14 2008-09-29
AND843 DUTRAY Benjamin Guillaume Marie RE Dealing in Securities 2006-10-23 2008-03-20
AND843 DUTRAY Benjamin Guillaume Marie RE Advising on Securities 2006-10-23 2008-03-20
AND942 LEE Kyung Koo 李庚九 RE Advising on Securities 2006-03-08 2008-09-29
ANE749 CHOW Ting Fai, Stephen Benny 周珽輝 RE Advising on Securities 2006-03-17 2007-05-07
ANE752 LOH Jenn Yeh, Adrian RE Dealing in Securities 2006-03-20 2007-03-19
ANE754 CHOI Won 崔元 RE Advising on Securities 2006-03-17 2006-10-04
ANE754 CHOI Won 崔元 RE Advising on Corporate Finance 2006-03-17 2006-10-04
ANE763 LIU Qianli RE Advising on Securities 2006-03-17 2007-07-02
ANE763 LIU Qianli RE Advising on Corporate Finance 2006-03-17 2007-07-02
ANF151 BERESFORD Paul Richard RE Dealing in Securities 2006-03-20 2008-09-29
ANF161 SALGAONKAR Sachin RE Advising on Securities 2006-03-22 2007-11-21
ANF264 PEI Xi 裴晞 RE Advising on Securities 2008-04-30 2008-09-29
ANF264 PEI Xi 裴晞 RE Advising on Corporate Finance 2008-04-21 2008-09-29
ANG377 WANG C C Clark 王崇智 RE Dealing in Securities 2006-03-30 2007-04-30
ANG377 WANG C C Clark 王崇智 RE Dealing in Futures Contracts 2006-03-30 2007-04-30
ANG393 LAU Wing Chung 劉穎聰 RE Dealing in Securities 2008-01-02 2008-03-20
ANG435 VAN JAARSVELD Johannes Gert Stefanus RE Advising on Securities 2007-08-30 2008-09-29
ANG435 VAN JAARSVELD Johannes Gert Stefanus RE Advising on Corporate Finance 2007-08-30 2008-09-29
ANG453 FUNG Suk Han, Selina 馮淑嫻 RE Dealing in Securities 2006-04-04 2008-09-29
ANG619 HON Kit Ming 韓傑明 RE Advising on Securities 2006-10-23 2008-02-18
ANG619 HON Kit Ming 韓傑明 RE Advising on Corporate Finance 2006-10-23 2008-02-18
ANH452 GREENGROVE Keith Alan RE Dealing in Securities 2006-04-26 2009-07-02
ANH452 GREENGROVE Keith Alan RE Advising on Securities 2006-04-26 2009-07-02
ANH517 YAO Kenneth 姚根霖 RE Dealing in Securities 2006-04-24 2008-09-29
ANH720 MARSH Nicholas James RE Dealing in Securities 2007-07-26 2008-02-04
ANH720 MARSH Nicholas James RE Dealing in Futures Contracts 2007-07-26 2008-02-04
ANH861 PRASAD Juhi RE Dealing in Securities 2006-04-27 2008-09-29
ANH861 PRASAD Juhi RE Advising on Corporate Finance 2006-04-27 2008-09-29
ANI753 LUN Chuen Yun, Ivy 藺傳茵 RE Advising on Securities 2006-04-27 2007-07-28
ANI753 LUN Chuen Yun, Ivy 藺傳茵 RE Advising on Corporate Finance 2006-04-27 2007-07-28
ANI800 TSUI Man Lung, Amy 崔文瓏 RE Dealing in Securities 2006-04-27 2007-03-30
ANI800 TSUI Man Lung, Amy 崔文瓏 RE Dealing in Futures Contracts 2006-04-27 2007-03-30
ANI899 LI Yanlin 李豔琳 RE Advising on Securities 2006-10-24 2008-02-04
ANJ480 GLAVAN Jeffrey Lawrence RE Advising on Securities 2006-05-11 2008-09-29
ANJ480 GLAVAN Jeffrey Lawrence RE Advising on Corporate Finance 2006-05-11 2008-09-29
ANJ489 PARK Joon Young RE Advising on Securities 2006-05-11 2008-09-29
ANJ489 PARK Joon Young RE Advising on Corporate Finance 2006-05-11 2008-09-29
ANJ557 SAMUEL Jacob RE Advising on Securities 2006-05-15 2008-09-29
ANJ559 VARSHNEY Varun RE Dealing in Securities 2006-05-15 2008-09-29
ANJ559 VARSHNEY Varun RE Dealing in Futures Contracts 2006-05-15 2008-09-29
ANK153 LIM Seng Chong, Terence 林成忠 RE Dealing in Securities 2006-05-17 2008-09-29
ANK153 LIM Seng Chong, Terence 林成忠 RE Advising on Corporate Finance 2006-05-17 2008-09-29
ANK394 WUH Paul I RE Advising on Securities 2006-05-18 2008-09-29
ANK724 CHOY Tsun Kit, Jackie 蔡俊傑 RE Advising on Securities 2006-05-22 2008-09-29
ANL070 AGARWAL Harsh Lakshman RE Advising on Securities 2006-05-25 2008-09-29
ANL073 XIE Yi 解一 RE Dealing in Securities 2006-06-05 2008-09-29
ANL079 VOURLOUMIS Andreas RE Advising on Securities 2006-05-25 2008-09-29
ANL835 HALLIWELL Thomas Alan RE Dealing in Securities 2007-05-14 2008-09-29
ANL835 HALLIWELL Thomas Alan RE Dealing in Futures Contracts 2007-05-14 2008-09-29
ANM137 CHEN Zhen 陳臻 RE Advising on Securities 2006-06-02 2008-09-29
ANM137 CHEN Zhen 陳臻 RE Advising on Corporate Finance 2006-06-02 2008-09-29
ANM476 TSENG Fan-Jung 曾繁榮 RE Dealing in Securities 2006-06-09 2007-12-12
ANM476 TSENG Fan-Jung 曾繁榮 RE Dealing in Futures Contracts 2006-06-09 2006-06-15
ANM476 TSENG Fan-Jung 曾繁榮 RE Advising on Corporate Finance 2006-06-16 2007-12-12
ANM477 SHING Wah Chun, Walden 盛華俊 RE Advising on Securities 2006-06-09 2007-05-07
ANM527 YANG Becky RE Dealing in Securities 2006-06-06 2008-03-18
ANM527 YANG Becky RE Dealing in Futures Contracts 2006-06-06 2008-03-18
ANM960 CHIANG Foster RE Dealing in Securities 2006-06-16 2008-09-29
ANM960 CHIANG Foster RE Dealing in Futures Contracts 2006-06-16 2008-09-29
ANN262 GUO Yiqiang 郭藝強 RE Advising on Securities 2006-06-20 2007-07-31
ANN265 CHELLAPPA Karthik RE Advising on Securities 2006-06-20 2008-05-14
ANP682 BURD Kenneth Virle RE Dealing in Securities 2006-06-30 2007-08-21
ANP682 BURD Kenneth Virle RE Advising on Securities 2006-06-30 2007-08-21
ANP703 MAHESHWARI Shyam RE Dealing in Securities 2006-07-03 2008-09-29
ANP703 MAHESHWARI Shyam RE Dealing in Futures Contracts 2008-01-25 2008-09-29
ANP703 MAHESHWARI Shyam RE Advising on Securities 2006-07-03 2008-09-29
ANQ141 MC NICHOLAS Daniel Patrick RE Dealing in Securities 2006-07-06 2008-04-22
ANQ141 MC NICHOLAS Daniel Patrick RE Dealing in Futures Contracts 2006-07-06 2008-04-22
ANQ293 LEUNG Cheuk Shun, Jackson 梁卓信 RE Dealing in Securities 2006-07-11 2008-09-29
ANQ300 HOLLOWAY Christopher James RE Advising on Securities 2006-07-11 2007-03-21
ANQ584 LAU Wan Yu 劉韻茹 RE Dealing in Securities 2006-07-13 2008-09-29
ANQ590 HO Ka Po, Anna 何嘉寶 RE Advising on Securities 2006-07-13 2008-09-11
ANQ601 HSUEH Chia-Yao 薜家瑤 RE Dealing in Securities 2006-07-13 2007-04-17
ANQ619 CHEN Ming RE Dealing in Securities 2006-07-13 2008-03-03
ANQ619 CHEN Ming RE Advising on Securities 2006-07-13 2008-03-03
ANR266 HART William RE Dealing in Securities 2006-07-20 2008-02-18
ANR270 VAN KEULEN Hendrik Louis RE Dealing in Securities 2006-07-21 2008-03-11
ANR270 VAN KEULEN Hendrik Louis RE Advising on Securities 2006-07-21 2008-03-11
ANR846 TSAI Diana Wan-Yi RE Advising on Securities 2006-07-27 2008-09-29
ANR847 KOO Anna-mae Mei Jong 顧曉楠 RE Dealing in Securities 2006-08-02 2007-09-27
ANR847 KOO Anna-mae Mei Jong 顧曉楠 RE Advising on Securities 2006-08-02 2007-09-27
ANR860 PIASECKI Artur Piotr RE Dealing in Securities 2007-04-11 2008-05-30
ANR860 PIASECKI Artur Piotr RE Dealing in Futures Contracts 2007-04-11 2008-05-30
ANR865 MC GINLEY Robert Vincent RE Dealing in Securities 2007-02-27 2008-02-01
ANR865 MC GINLEY Robert Vincent RE Dealing in Futures Contracts 2007-02-27 2008-02-01
ANS061 CHEN Bin 陳斌 RE Advising on Securities 2006-07-27 2008-09-01
ANS079 VALLE Charles Emmanuel RE Dealing in Securities 2006-07-28 2008-09-29
ANS079 VALLE Charles Emmanuel RE Dealing in Futures Contracts 2006-07-28 2008-09-29
ANS123 KENNEDY Brynne Shanahan RE Advising on Securities 2006-07-31 2007-11-22
ANS123 KENNEDY Brynne Shanahan RE Advising on Corporate Finance 2006-07-31 2007-11-22
ANS129 CHU Vanessa Mei I RE Advising on Securities 2006-08-01 2007-08-01
ANS129 CHU Vanessa Mei I RE Advising on Corporate Finance 2006-08-01 2007-08-01
ANT246 WILLIAMS Daniel Eduardo RE Advising on Securities 2006-08-01 2007-06-25

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