Hong Kong SFC licence institution AAF351, Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司

These are the licence-holders that were found for SFC licence institution AAF351 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
ABF543 TSE Raymond 謝禮文 RE Dealing in Securities 2003-04-01 2004-06-26
ABF543 TSE Raymond 謝禮文 RE Advising on Securities 2003-04-01 2004-06-26
ABF543 TSE Raymond 謝禮文 RE Advising on Corporate Finance 2003-04-01 2004-06-26
ABF543 TSE Raymond 謝禮文 RE Asset Management 2003-04-01 2004-06-26
ABY694 MO Wai Hong, Matthew 毛偉康 RE Advising on Securities 2007-07-09 2008-09-09
ABY694 MO Wai Hong, Matthew 毛偉康 RE Asset Management 2007-07-09 2008-09-09
ACF046 OGIWARA Yasuaki RO Dealing in Securities 2013-05-20 2015-04-15
ACF046 OGIWARA Yasuaki RO Advising on Securities 2012-06-05 2015-04-15
ACF046 OGIWARA Yasuaki RO Asset Management 2012-06-05 2015-04-15
ACI100 LEE King Yu 李景愉 RE Advising on Securities 2004-10-29 2004-12-21
ACI100 LEE King Yu 李景愉 RO Advising on Securities 2004-12-21 2012-02-23
ACI100 LEE King Yu 李景愉 RE Asset Management 2004-10-21 2004-12-21
ACI100 LEE King Yu 李景愉 RO Asset Management 2004-12-21 2012-02-23
ACR126 TSE Win Yee, Annie 謝永怡 RO Dealing in Securities 2013-08-29 2017-02-11
ACR126 TSE Win Yee, Annie 謝永怡 RE Advising on Securities 2008-10-03 2012-05-07
ACR126 TSE Win Yee, Annie 謝永怡 RO Advising on Securities 2012-05-07 2017-02-11
ACR126 TSE Win Yee, Annie 謝永怡 RE Asset Management 2008-10-03 2012-05-07
ACR126 TSE Win Yee, Annie 謝永怡 RO Asset Management 2012-05-07 2017-02-11
ADH086 ISHIKAWA Noritada RO Dealing in Securities 2003-04-01 2004-12-16
ADH086 ISHIKAWA Noritada RO Advising on Securities 2003-04-01 2006-04-21
ADH086 ISHIKAWA Noritada RO Advising on Futures Contracts 2003-04-01 2004-12-16
ADH086 ISHIKAWA Noritada RO Advising on Corporate Finance 2003-04-01 2004-12-16
ADH086 ISHIKAWA Noritada RO Asset Management 2003-04-01 2006-04-21
ADK641 NAKANO Toru RO Advising on Securities 2010-10-07 2012-05-22
ADK641 NAKANO Toru RO Asset Management 2010-10-07 2012-05-22
ADZ118 LAU Lynch 劉念慈 RO Dealing in Securities 2014-07-04
ADZ118 LAU Lynch 劉念慈 RE Advising on Securities 2007-08-01
ADZ118 LAU Lynch 劉念慈 RE Asset Management 2007-08-01
AEB573 CHEUNG Chi Ho 張志豪 RE Dealing in Securities 2003-04-01 2004-11-01
AEB573 CHEUNG Chi Ho 張志豪 RE Advising on Securities 2003-04-01 2007-03-02
AEB573 CHEUNG Chi Ho 張志豪 RE Advising on Corporate Finance 2003-04-01 2004-11-01
AEB573 CHEUNG Chi Ho 張志豪 RE Asset Management 2003-04-01 2007-03-02
AEZ033 NG Ching Han 伍靜嫺 RE Dealing in Securities 2003-04-01 2004-11-01
AEZ033 NG Ching Han 伍靜嫺 RE Advising on Securities 2003-04-01 2004-11-01
AEZ033 NG Ching Han 伍靜嫺 RE Advising on Corporate Finance 2003-04-01 2004-11-01
AEZ033 NG Ching Han 伍靜嫺 RE Asset Management 2003-04-01 2005-06-27
AEZ563 FUNG Si Huen, Alan 馮時煖 RE Advising on Securities 2006-08-10 2007-03-02
AEZ563 FUNG Si Huen, Alan 馮時煖 RE Asset Management 2006-08-10 2007-03-02
AFS247 LAW Wing Sze 羅穎思 RE Dealing in Securities 2003-04-01 2004-11-01
AFS247 LAW Wing Sze 羅穎思 RE Advising on Securities 2003-04-01 2004-11-01
AFS247 LAW Wing Sze 羅穎思 RE Advising on Securities 2008-11-03
AFS247 LAW Wing Sze 羅穎思 RE Advising on Corporate Finance 2003-04-01 2004-11-01
AFS247 LAW Wing Sze 羅穎思 RE Asset Management 2003-04-01
AGC563 YU Ka Yee, Sandra 余嘉儀 RE Dealing in Securities 2003-04-01 2004-11-01
AGC563 YU Ka Yee, Sandra 余嘉儀 RE Advising on Securities 2003-04-01 2007-06-30
AGC563 YU Ka Yee, Sandra 余嘉儀 RE Advising on Corporate Finance 2003-04-01 2004-11-01
AGC563 YU Ka Yee, Sandra 余嘉儀 RE Asset Management 2003-04-01 2007-06-30
AGI603 LAW Yan Ni, Freda 羅茵妮 RE Dealing in Securities 2003-04-01 2004-11-01
AGI603 LAW Yan Ni, Freda 羅茵妮 RE Advising on Securities 2003-04-01 2004-11-01
AGI603 LAW Yan Ni, Freda 羅茵妮 RE Advising on Futures Contracts 2003-04-01 2004-11-01
AGI603 LAW Yan Ni, Freda 羅茵妮 RE Advising on Corporate Finance 2003-04-01 2004-11-01
AGI603 LAW Yan Ni, Freda 羅茵妮 RE Asset Management 2003-04-01 2009-06-23
AHM886 UMEMORI Masahiro 梅森雅宏 RO Dealing in Securities 2003-04-01 2004-12-16
AHM886 UMEMORI Masahiro 梅森雅宏 RO Advising on Securities 2003-04-01 2008-11-04
AHM886 UMEMORI Masahiro 梅森雅宏 RO Advising on Futures Contracts 2003-04-01 2004-12-16
AHM886 UMEMORI Masahiro 梅森雅宏 RO Asset Management 2003-04-01 2008-11-04
AHM934 CHEUNG Wai Chung 張偉聰 RE Advising on Securities 2007-06-21 2009-01-29
AHM934 CHEUNG Wai Chung 張偉聰 RE Asset Management 2007-06-21 2009-01-29
AIH350 KASAHARA Shigeto RE Advising on Securities 2003-04-01 2004-04-09
AIH350 KASAHARA Shigeto RE Advising on Corporate Finance 2003-04-01 2004-04-09
AIH350 KASAHARA Shigeto RE Asset Management 2003-04-01 2004-04-09
AIU457 HUI Wai Man 許偉民 RE Dealing in Securities 2003-04-23 2003-10-23
AIU457 HUI Wai Man 許偉民 RE Advising on Securities 2003-04-23 2003-10-23
AIU457 HUI Wai Man 許偉民 RE Advising on Futures Contracts 2003-04-25 2003-10-23
AIU457 HUI Wai Man 許偉民 RE Asset Management 2003-04-23 2003-10-23
AJN697 SHEN Xiaomin 沈曉民 RE Advising on Securities 2004-10-29 2010-11-19
AJN697 SHEN Xiaomin 沈曉民 RE Asset Management 2004-03-09 2010-11-19
AKX826 KUBO Seisaku RO Dealing in Securities 2018-03-14
AKX826 KUBO Seisaku RE Advising on Securities 2004-10-29 2005-10-17
AKX826 KUBO Seisaku RO Advising on Securities 2018-03-14
AKX826 KUBO Seisaku RE Advising on Futures Contracts 2004-07-15 2004-10-29
AKX826 KUBO Seisaku RE Asset Management 2004-07-15 2005-10-17
AKX826 KUBO Seisaku RO Asset Management 2018-03-14
ALG318 XU Xiangli 許向麗 RE Advising on Securities 2007-07-31 2010-12-03
ALG318 XU Xiangli 許向麗 RE Asset Management 2007-07-31 2010-12-03
ALW473 HO Tak Nam, Queeny 何德藍 RE Advising on Securities 2009-07-30 2016-06-18
ALW473 HO Tak Nam, Queeny 何德藍 RE Asset Management 2009-07-30 2016-06-18
ALW740 MURAO Yuichi RE Advising on Securities 2005-04-20 2005-06-01
ALW740 MURAO Yuichi RE Advising on Securities 2007-01-22 2007-02-22
ALW740 MURAO Yuichi RE Advising on Securities 2007-08-15 2007-09-14
ALW740 MURAO Yuichi RE Advising on Securities 2008-01-22 2008-02-22
ALW740 MURAO Yuichi RE Advising on Securities 2008-07-24 2008-08-24
ALW740 MURAO Yuichi RE Advising on Securities 2009-01-19 2009-02-19
AMF221 YOKOTA Yasuhiro RO Advising on Securities 2005-09-02 2015-03-31
AMF221 YOKOTA Yasuhiro RO Asset Management 2005-09-02 2015-03-31
AMH243 LI Hiu Mui 李曉玫 RE Asset Management 2005-08-25 2014-08-07
AMN549 KODAMA Madoka RE Advising on Securities 2005-09-26 2008-07-14
AMN549 KODAMA Madoka RE Asset Management 2005-09-26 2008-07-14
AMX876 INOSE Tomoyoshi RE Advising on Securities 2006-01-16 2006-09-16
AMX876 INOSE Tomoyoshi RE Advising on Securities 2007-08-30 2009-07-01
AMX876 INOSE Tomoyoshi RE Asset Management 2006-01-16 2006-09-16
AMX876 INOSE Tomoyoshi RE Asset Management 2007-08-30 2009-07-01
ANG611 FOK Sze Ting 霍思婷 RE Dealing in Securities 2017-10-04 2018-04-10
ANG611 FOK Sze Ting 霍思婷 RE Advising on Securities 2017-10-04 2018-04-10
ANG611 FOK Sze Ting 霍思婷 RE Asset Management 2017-10-04 2018-04-10
AOC914 HO Hoi Lam, Anita 何海琳 RE Dealing in Securities 2015-07-24 2015-11-20
AOC914 HO Hoi Lam, Anita 何海琳 RE Advising on Securities 2015-07-24 2015-11-20
AOC914 HO Hoi Lam, Anita 何海琳 RE Asset Management 2015-07-24 2015-11-20
AOL330 NAKAJIMA Tomoyuki RE Advising on Securities 2007-01-22 2007-02-22
AOL330 NAKAJIMA Tomoyuki RE Advising on Securities 2007-08-15 2007-09-14
AOL330 NAKAJIMA Tomoyuki RE Advising on Securities 2008-01-22 2008-02-22
APQ326 WONG Ka Kuen 黃嘉權 RE Advising on Securities 2007-10-17 2009-11-24
APQ326 WONG Ka Kuen 黃嘉權 RE Asset Management 2007-10-17 2009-11-24
APX167 TSE Sze Man, Bonny 謝思敏 RE Dealing in Securities 2013-07-30 2014-05-10
APX167 TSE Sze Man, Bonny 謝思敏 RE Advising on Securities 2013-07-30 2014-05-10
APX167 TSE Sze Man, Bonny 謝思敏 RE Asset Management 2013-07-30 2014-05-10
AQD103 OHASHI Sotaro 大橋聰太郎 RE Advising on Securities 2007-12-06 2009-07-01
AQD103 OHASHI Sotaro 大橋聰太郎 RE Asset Management 2007-12-06 2009-07-01
AQF692 HIRAMATSU Go 平松剛 RO Advising on Securities 2008-02-28 2011-08-24
AQF692 HIRAMATSU Go 平松剛 RO Asset Management 2008-02-28 2011-08-24
AQR940 KWONG Ming Yan, Fanny 鄺明欣 RE Advising on Securities 2008-04-17 2018-07-10
AQR940 KWONG Ming Yan, Fanny 鄺明欣 RE Asset Management 2008-04-17 2018-07-10
AQY208 TANAKA Eiji 田中榮治 RE Dealing in Securities 2018-10-08
AQY208 TANAKA Eiji 田中榮治 RE Advising on Securities 2018-10-08
AQY208 TANAKA Eiji 田中榮治 RE Asset Management 2018-10-08
AQZ882 TAM Chung Him 談仲騫 RE Asset Management 2008-06-16 2015-07-01
ARE477 CHAN Suet Fei 陳雪飛 RE Asset Management 2008-07-18 2014-08-07
ARI893 KAWABE Takahiro RE Advising on Securities 2008-07-24 2008-08-24
ARI893 KAWABE Takahiro RE Advising on Securities 2009-01-19 2009-02-19
ARJ709 OKUMA Motofumi 大熊素文 RE Advising on Securities 2008-07-25 2010-06-24
ARJ709 OKUMA Motofumi 大熊素文 RE Asset Management 2008-07-25 2010-06-24
ASF462 HUNG Janice Fortuna RE Dealing in Securities 2013-05-31 2014-04-15
ASF462 HUNG Janice Fortuna RE Advising on Securities 2009-01-19 2014-04-15
ASF462 HUNG Janice Fortuna RE Asset Management 2009-01-19 2014-04-15
ATO953 SU Wen 蘇文 RE Dealing in Securities 2014-08-15 2016-05-10
ATO953 SU Wen 蘇文 RE Advising on Securities 2014-08-15 2016-05-10
ATO953 SU Wen 蘇文 RE Asset Management 2014-08-15 2016-05-10
AVI554 KAWAMURA Takahiro RO Dealing in Securities 2016-07-27
AVI554 KAWAMURA Takahiro RE Advising on Securities 2010-06-15 2011-08-29
AVI554 KAWAMURA Takahiro RO Advising on Securities 2011-08-29
AVI554 KAWAMURA Takahiro RE Asset Management 2010-06-15 2011-08-29
AVI554 KAWAMURA Takahiro RO Asset Management 2011-08-29
AVU639 SHEK Wing Man 石詠文 RE Advising on Securities 2017-03-07
AVU639 SHEK Wing Man 石詠文 RE Asset Management 2017-03-07
AWX002 YUNG Kai Po Anthony 容啓寶 RE Dealing in Securities 2013-08-09 2014-11-19
AWX002 YUNG Kai Po Anthony 容啓寶 RE Advising on Securities 2013-08-09 2014-11-19
AXE051 SUN Liang 孫亮 RO Dealing in Securities 2016-07-27
AXE051 SUN Liang 孫亮 RE Advising on Securities 2011-04-27 2012-05-28
AXE051 SUN Liang 孫亮 RO Advising on Securities 2012-05-28
AXE051 SUN Liang 孫亮 RE Asset Management 2011-04-27 2012-05-28
AXE051 SUN Liang 孫亮 RO Asset Management 2012-05-28
AYI059 CHENG Shou Shan 程守善 RO Dealing in Securities 2013-05-20 2013-08-27
AYI059 CHENG Shou Shan 程守善 RE Advising on Securities 2011-10-31 2013-08-27
AYI059 CHENG Shou Shan 程守善 RE Asset Management 2011-10-31 2013-08-27
AZE437 SUDO Takafumi 須藤貴史 RO Dealing in Securities 2013-05-20 2013-10-07
AZE437 SUDO Takafumi 須藤貴史 RO Advising on Securities 2012-04-26 2013-10-07
AZE437 SUDO Takafumi 須藤貴史 RO Asset Management 2012-04-26 2013-10-07
BAQ704 HARPER Anthony Joseph RE Dealing in Securities 2016-01-08 2016-03-09
BAQ704 HARPER Anthony Joseph RE Advising on Securities 2016-01-08 2016-03-09
BAQ704 HARPER Anthony Joseph RE Asset Management 2016-01-08 2016-03-09
BAQ822 ZHOU Siyang RE Dealing in Securities 2013-05-31 2014-12-10
BAQ822 ZHOU Siyang RE Advising on Securities 2013-01-03 2014-12-10
BAQ822 ZHOU Siyang RE Asset Management 2013-01-03 2014-12-10
BCS522 XU Na 徐娜 RE Dealing in Securities 2016-06-21 2017-01-01
BCS522 XU Na 徐娜 RE Advising on Securities 2016-06-21 2017-01-01
BCS522 XU Na 徐娜 RE Asset Management 2016-09-20 2017-01-01
BDY279 SHAO Shuai 邵帥 RE Dealing in Securities 2014-08-08
BDY279 SHAO Shuai 邵帥 RE Advising on Securities 2014-08-08
BDY279 SHAO Shuai 邵帥 RE Asset Management 2016-09-20
BFI913 HARADA Yasuhiro 原田靖大 RO Dealing in Securities 2015-06-24 2017-12-20
BFI913 HARADA Yasuhiro 原田靖大 RO Advising on Securities 2015-06-24 2017-12-20
BFI913 HARADA Yasuhiro 原田靖大 RO Asset Management 2015-06-24 2017-12-20
BFZ639 YEUNG Chun Chak 楊秦澤 RE Dealing in Securities 2015-08-17
BFZ639 YEUNG Chun Chak 楊秦澤 RE Advising on Securities 2015-08-17
BFZ639 YEUNG Chun Chak 楊秦澤 RE Asset Management 2016-09-20
BHD144 SZE Bowen 施寶賢 RE Advising on Securities 2016-03-16
BHD144 SZE Bowen 施寶賢 RE Asset Management 2016-03-16
BID335 WANG Lu 王璐 RE Advising on Securities 2018-11-16
BJE159 KONG Ching Hong, Alan 江政康 RE Dealing in Securities 2017-03-07 2017-08-05
BJE159 KONG Ching Hong, Alan 江政康 RE Advising on Securities 2017-03-07 2017-08-05
BJE159 KONG Ching Hong, Alan 江政康 RE Asset Management 2017-03-07 2017-08-05
BNU652 WEN Xuanhao 文炫皓 RE Dealing in Securities 2018-11-15
BNU652 WEN Xuanhao 文炫皓 RE Advising on Securities 2018-11-15
BNU652 WEN Xuanhao 文炫皓 RE Asset Management 2018-11-15

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