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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