These are the licence-holders that were found for SFC licence institution AAF425 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 |
|---|---|---|---|---|---|---|
| AAC683 | PICKERELL Blair Chilton | RO | Advising on Securities | 2003-07-22 | 2007-05-31 | |
| AAC683 | PICKERELL Blair Chilton | RO | Asset Management | 2003-07-22 | 2007-05-31 | |
| AAJ072 | EBRAHIM Ayaz Hatim | RO | Advising on Securities | 2003-06-06 | 2006-07-25 | |
| AAJ072 | EBRAHIM Ayaz Hatim | RO | Advising on Securities | 2010-10-26 | 2011-05-13 | |
| AAJ072 | EBRAHIM Ayaz Hatim | RO | Advising on Futures Contracts | 2003-06-06 | 2006-07-25 | |
| AAJ072 | EBRAHIM Ayaz Hatim | RO | Advising on Futures Contracts | 2010-06-11 | 2011-05-13 | |
| AAJ072 | EBRAHIM Ayaz Hatim | RO | Asset Management | 2003-06-06 | 2006-07-25 | |
| AAJ072 | EBRAHIM Ayaz Hatim | RO | Asset Management | 2010-10-26 | 2011-05-13 | |
| AAK403 | MOK Wan Yu, Philip | 莫韻餘 | RO | Advising on Futures Contracts | 2011-06-02 | 2015-02-28 |
| AAK751 | SPENCE Susannah Mary | RO | Advising on Securities | 2006-01-18 | ||
| AAK751 | SPENCE Susannah Mary | RE | Advising on Futures Contracts | 2006-01-18 | ||
| AAK751 | SPENCE Susannah Mary | RO | Asset Management | 2006-01-18 | ||
| AAO493 | HAU Wai Yin, Winnie | 侯慧賢 | RO | Advising on Securities | 2006-01-18 | 2011-07-29 |
| AAO493 | HAU Wai Yin, Winnie | 侯慧賢 | RE | Advising on Futures Contracts | 2006-01-18 | 2011-07-29 |
| AAO493 | HAU Wai Yin, Winnie | 侯慧賢 | RO | Asset Management | 2006-01-18 | 2011-07-29 |
| ABL820 | AU King Lun | 區景麟 | RO | Advising on Securities | 2003-04-01 | 2008-08-01 |
| ABL820 | AU King Lun | 區景麟 | RO | Advising on Futures Contracts | 2003-04-01 | 2008-08-01 |
| ABL820 | AU King Lun | 區景麟 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-05-07 |
| ABL820 | AU King Lun | 區景麟 | RO | Asset Management | 2003-04-01 | 2008-08-01 |
| ABX785 | LIU Alan Chi Lun | 廖志崙 | RO | Advising on Securities | 2004-03-19 | 2005-08-03 |
| ABX785 | LIU Alan Chi Lun | 廖志崙 | RO | Advising on Futures Contracts | 2004-03-19 | 2005-08-03 |
| ABX785 | LIU Alan Chi Lun | 廖志崙 | RO | Asset Management | 2004-03-19 | 2005-08-03 |
| ABZ796 | LUK Wai Shum | 陸慧心 | RE | Advising on Securities | 2012-10-24 | |
| ABZ796 | LUK Wai Shum | 陸慧心 | RE | Asset Management | 2012-10-24 | |
| ACB033 | CHOW Yin Kwan | 周妍君 | RO | Advising on Securities | 2006-01-18 | 2007-03-30 |
| ACB033 | CHOW Yin Kwan | 周妍君 | RE | Advising on Futures Contracts | 2006-01-18 | 2007-03-30 |
| ACB033 | CHOW Yin Kwan | 周妍君 | RO | Asset Management | 2006-01-18 | 2007-03-30 |
| ACL453 | YIP Sze Ki | 葉士奇 | RO | Advising on Securities | 2011-06-09 | 2014-08-01 |
| ACL453 | YIP Sze Ki | 葉士奇 | RO | Advising on Futures Contracts | 2011-05-04 | 2014-08-01 |
| ACL453 | YIP Sze Ki | 葉士奇 | RO | Asset Management | 2011-06-09 | 2014-08-01 |
| ACP445 | CHAU Wing Yu, Lydia | 周穎愉 | RE | Advising on Securities | 2012-10-12 | |
| ACP445 | CHAU Wing Yu, Lydia | 周穎愉 | RE | Asset Management | 2012-10-12 | |
| ACR544 | PAI Husan | 白浩森 | RO | Advising on Futures Contracts | 2011-06-07 | 2014-12-31 |
| ACW506 | WONG Ching, Jane | 黃菁 | RE | Advising on Securities | 2012-10-16 | 2013-01-31 |
| ACW506 | WONG Ching, Jane | 黃菁 | RE | Asset Management | 2012-10-16 | 2013-01-31 |
| ADX752 | CHOW Man Yiu, Paul | 周文耀 | RO | Advising on Securities | 2003-04-01 | 2003-04-30 |
| ADX752 | CHOW Man Yiu, Paul | 周文耀 | RO | Advising on Corporate Finance | 2003-04-01 | 2003-04-30 |
| ADX752 | CHOW Man Yiu, Paul | 周文耀 | RO | Asset Management | 2003-04-01 | 2003-04-30 |
| AED561 | GOLDFELD Leon | RE | Advising on Securities | 2004-07-20 | 2004-09-09 | |
| AED561 | GOLDFELD Leon | RO | Advising on Securities | 2004-09-09 | 2010-06-18 | |
| AED561 | GOLDFELD Leon | RE | Advising on Futures Contracts | 2004-07-20 | 2004-09-09 | |
| AED561 | GOLDFELD Leon | RO | Advising on Futures Contracts | 2004-09-09 | 2010-06-18 | |
| AED561 | GOLDFELD Leon | RE | Asset Management | 2004-07-20 | 2004-09-09 | |
| AED561 | GOLDFELD Leon | RO | Asset Management | 2004-09-09 | 2010-06-18 | |
| AFG504 | NGAI Tak Sing, Alfred | 魏德星 | RE | Advising on Securities | 2012-10-17 | |
| AFG504 | NGAI Tak Sing, Alfred | 魏德星 | RE | Asset Management | 2012-10-17 | |
| AFS654 | MALDONADO-CODINA Guillermo Eduardo | RO | Advising on Securities | 2012-05-24 | ||
| AFS654 | MALDONADO-CODINA Guillermo Eduardo | RO | Advising on Futures Contracts | 2011-09-19 | ||
| AFS654 | MALDONADO-CODINA Guillermo Eduardo | RO | Asset Management | 2011-09-19 | ||
| AFW549 | SZE Woon Sang | 史煥生 | RE | Advising on Securities | 2015-04-29 | |
| AFW549 | SZE Woon Sang | 史煥生 | RE | Asset Management | 2015-04-29 | |
| AIY478 | CONXICOEUR Patrice Pierre Henri | RO | Advising on Securities | 2008-07-28 | 2015-05-06 | |
| AIY478 | CONXICOEUR Patrice Pierre Henri | RO | Advising on Futures Contracts | 2008-07-28 | 2015-05-06 | |
| AIY478 | CONXICOEUR Patrice Pierre Henri | RO | Asset Management | 2008-07-28 | 2015-05-06 | |
| ALZ486 | WONG Ling Sze, Susanna | 王玲思 | RE | Advising on Securities | 2012-11-27 | 2014-02-28 |
| ALZ486 | WONG Ling Sze, Susanna | 王玲思 | RE | Asset Management | 2013-02-15 | 2014-02-28 |
| AMN703 | TSANG Tak Yung Raymond | 曾德庸 | RE | Advising on Securities | 2015-12-18 | |
| AMN703 | TSANG Tak Yung Raymond | 曾德庸 | RE | Asset Management | 2015-12-18 | |
| ANE311 | KOO Julie J | RO | Advising on Securities | 2011-06-09 | 2015-02-06 | |
| ANE311 | KOO Julie J | RO | Asset Management | 2011-06-09 | 2015-02-06 | |
| APC553 | APENBRINK Rudolf Eduard Walter | RO | Advising on Securities | 2007-07-03 | 2010-10-01 | |
| APC553 | APENBRINK Rudolf Eduard Walter | RO | Asset Management | 2007-07-03 | 2010-10-01 | |
| APG270 | SHEEHAN Benjamin Septimus | RE | Advising on Securities | 2013-09-25 | 2016-09-19 | |
| APG270 | SHEEHAN Benjamin Septimus | RE | Asset Management | 2013-09-25 | 2016-09-19 | |
| AQD385 | HAN Bin | 韓檳 | RE | Advising on Securities | 2017-03-20 | |
| AQD385 | HAN Bin | 韓檳 | RE | Asset Management | 2017-03-20 | |
| AQR075 | BROWN Alison Rosemary | RO | Advising on Securities | 2018-07-10 | ||
| AQZ995 | HUI Lam | 許琳 | RE | Advising on Securities | 2012-10-16 | 2013-07-31 |
| AQZ995 | HUI Lam | 許琳 | RE | Asset Management | 2012-10-16 | 2013-07-31 |
| ARL756 | PANG So Sum, Rio | 彭素心 | RE | Advising on Securities | 2012-10-16 | |
| ARL756 | PANG So Sum, Rio | 彭素心 | RE | Asset Management | 2012-10-16 | |
| ASH964 | GOULD Denis James | RO | Advising on Securities | 2011-10-12 | ||
| ASH964 | GOULD Denis James | RO | Advising on Futures Contracts | 2011-10-12 | ||
| ASH964 | GOULD Denis James | RO | Asset Management | 2011-10-12 | ||
| ATV304 | BOTELHO BASTOS Pedro Augusto | RE | Advising on Securities | 2014-06-12 | 2014-06-25 | |
| ATV304 | BOTELHO BASTOS Pedro Augusto | RO | Advising on Securities | 2014-06-25 | ||
| ATV304 | BOTELHO BASTOS Pedro Augusto | RO | Advising on Futures Contracts | 2018-08-07 | ||
| ATV304 | BOTELHO BASTOS Pedro Augusto | RE | Asset Management | 2014-06-12 | 2014-06-25 | |
| ATV304 | BOTELHO BASTOS Pedro Augusto | RO | Asset Management | 2014-06-25 | ||
| AUC354 | LAM Fung Ling | 林鋒凌 | RE | Advising on Securities | 2014-07-10 | |
| AUC354 | LAM Fung Ling | 林鋒凌 | RE | Asset Management | 2014-07-10 | |
| AUM594 | HO May Wai, Judy | 何美蕙 | RE | Advising on Securities | 2015-11-11 | |
| AUM594 | HO May Wai, Judy | 何美蕙 | RE | Asset Management | 2015-11-11 | |
| AUW071 | MUNRO Joanna Mary | RO | Advising on Securities | 2011-05-09 | 2014-07-03 | |
| AUW071 | MUNRO Joanna Mary | RO | Asset Management | 2011-05-09 | 2014-07-03 | |
| AWF683 | CHOI Sae Joon | RE | Advising on Securities | 2012-10-12 | 2014-08-11 | |
| AWF683 | CHOI Sae Joon | RE | Asset Management | 2012-10-12 | 2014-08-11 | |
| AWW061 | TANG May See, Michelle | 鄧美詩 | RE | Advising on Securities | 2012-10-12 | 2014-06-23 |
| AWW061 | TANG May See, Michelle | 鄧美詩 | RE | Asset Management | 2012-10-12 | 2014-06-23 |
| AXE055 | LAM Lung, Edward | 林隆 | RE | Advising on Securities | 2012-10-12 | 2013-12-10 |
| AXE055 | LAM Lung, Edward | 林隆 | RE | Asset Management | 2012-10-12 | 2013-12-10 |
| AYR243 | KIM Joseph | RE | Advising on Securities | 2012-10-12 | 2014-01-14 | |
| AYR243 | KIM Joseph | RE | Asset Management | 2012-10-12 | 2014-01-14 | |
| AYX302 | LIU Kwan Kiu | 廖君翹 | RE | Advising on Securities | 2012-10-22 | 2015-01-30 |
| AYX302 | LIU Kwan Kiu | 廖君翹 | RE | Asset Management | 2012-10-22 | 2015-01-30 |
| AZC677 | LEE Wai Nam, Bonnie | 李慧楠 | RE | Advising on Securities | 2013-12-12 | |
| AZC677 | LEE Wai Nam, Bonnie | 李慧楠 | RE | Asset Management | 2013-12-12 | |
| BAN230 | LO Pui Ki | 勞佩琪 | RE | Advising on Securities | 2016-11-01 | |
| BAN230 | LO Pui Ki | 勞佩琪 | RE | Asset Management | 2016-11-01 | |
| BAP964 | BOARDMAN Luke Jonathan | RE | Advising on Securities | 2012-12-24 | 2015-07-24 | |
| BAP964 | BOARDMAN Luke Jonathan | RE | Asset Management | 2012-12-24 | 2015-07-24 | |
| BDC882 | MANAKTALA Aneesh | RE | Advising on Securities | 2014-03-18 | ||
| BDC882 | MANAKTALA Aneesh | RE | Asset Management | 2014-03-18 | ||
| BDE776 | YUEN Kayla | 袁熙棠 | RE | Advising on Securities | 2014-04-01 | |
| BDE776 | YUEN Kayla | 袁熙棠 | RE | Asset Management | 2014-04-01 | |
| BDF471 | LAM Sin Yee | 林茜儀 | RE | Advising on Securities | 2014-04-07 | 2016-03-08 |
| BDF471 | LAM Sin Yee | 林茜儀 | RE | Asset Management | 2014-04-07 | 2016-03-08 |
| BDI413 | LING Sze Kei | 凌思其 | RE | Advising on Securities | 2014-04-22 | 2018-06-26 |
| BDI413 | LING Sze Kei | 凌思其 | RE | Asset Management | 2014-04-22 | 2018-06-26 |
| BDI855 | KWONG Siu To | 鄺小桃 | RE | Advising on Securities | 2014-04-29 | |
| BDI855 | KWONG Siu To | 鄺小桃 | RE | Asset Management | 2014-04-29 | |
| BDO734 | LANG Lang | 郎朗 | RE | Advising on Securities | 2014-06-16 | 2014-07-23 |
| BDO734 | LANG Lang | 郎朗 | RE | Asset Management | 2014-06-16 | 2014-07-23 |
| BEU976 | LIN Michelle | 林旻璇 | RE | Advising on Securities | 2015-01-13 | |
| BEU976 | LIN Michelle | 林旻璇 | RE | Asset Management | 2015-01-13 | |
| BFA016 | WONG Wing Hoi Jane | 黃穎凱 | RE | Advising on Securities | 2015-02-24 | |
| BFA016 | WONG Wing Hoi Jane | 黃穎凱 | RE | Asset Management | 2015-02-24 | |
| BFA433 | CHUNG Kyung Il | RE | Advising on Securities | 2015-02-27 | ||
| BFA433 | CHUNG Kyung Il | RE | Asset Management | 2015-02-27 | ||
| BFR528 | LIM Ji Youn | 林智娟 | RE | Advising on Securities | 2015-06-23 | |
| BFR528 | LIM Ji Youn | 林智娟 | RE | Asset Management | 2015-06-23 | |
| BFR567 | LI Tao | 黎濤 | RE | Advising on Securities | 2015-06-23 | 2017-01-13 |
| BFR567 | LI Tao | 黎濤 | RE | Asset Management | 2015-06-23 | 2017-01-13 |
| BGG010 | YEUNG Yim Lan | 楊艷蘭 | RE | Advising on Securities | 2018-06-15 | 2018-08-13 |
| BGG010 | YEUNG Yim Lan | 楊艷蘭 | RE | Asset Management | 2018-06-15 | 2018-08-13 |
| BHP663 | CHIM Ho Yan | 詹可欣 | RE | Advising on Securities | 2016-06-13 | 2018-01-17 |
| BHP663 | CHIM Ho Yan | 詹可欣 | RE | Asset Management | 2016-06-13 | 2018-01-17 |
| BNH517 | LEE Tsz Ho | 李梓豪 | RE | Advising on Securities | 2018-08-01 | |
| BNH517 | LEE Tsz Ho | 李梓豪 | RE | Asset Management | 2018-08-01 |
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