Hong Kong SFC licence institution AAF778, Brown Brothers Harriman (Hong Kong) Limited

These are the licence-holders that were found for SFC licence institution AAF778 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
ADX573 TSANG Michael 曾米高 RE Dealing in Securities 2015-06-08 2017-01-07
ADX573 TSANG Michael 曾米高 RE Leveraged Foreign Exchange Trading 2015-06-08 2017-01-07
AEZ574 WONG Lai San 王麗珊 RE Dealing in Securities 2013-02-14
AEZ574 WONG Lai San 王麗珊 RO Dealing in Securities 2004-11-08 2011-03-31
AEZ574 WONG Lai San 王麗珊 RE Leveraged Foreign Exchange Trading 2016-02-11
AEZ574 WONG Lai San 王麗珊 RE Advising on Securities 2003-04-01 2004-11-08
AEZ574 WONG Lai San 王麗珊 RO Advising on Securities 2004-11-08 2011-03-31
AEZ574 WONG Lai San 王麗珊 RE Advising on Corporate Finance 2003-04-01 2004-10-07
AEZ574 WONG Lai San 王麗珊 RE Asset Management 2003-04-01 2004-11-08
AEZ574 WONG Lai San 王麗珊 RO Asset Management 2004-11-08 2008-07-09
AFE706 TSE Siu Hung, Joseph 謝少雄 RO Dealing in Securities 2003-04-01 2014-03-31
AFE706 TSE Siu Hung, Joseph 謝少雄 RO Leveraged Foreign Exchange Trading 2011-05-11 2014-03-31
AFE706 TSE Siu Hung, Joseph 謝少雄 RO Advising on Securities 2003-04-01 2014-03-31
AFE706 TSE Siu Hung, Joseph 謝少雄 RO Advising on Corporate Finance 2003-04-01 2004-10-08
AFE706 TSE Siu Hung, Joseph 謝少雄 RO Asset Management 2003-04-01 2008-07-09
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RE Dealing in Securities 2003-04-01 2004-11-19
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RO Dealing in Securities 2004-11-19 2011-03-31
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RE Advising on Securities 2003-04-01 2004-11-19
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RO Advising on Securities 2004-11-19 2010-02-08
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RE Advising on Corporate Finance 2003-04-01 2004-09-21
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RE Asset Management 2003-04-01 2004-11-19
AHM233 KWAN Wan Fung, Jacqueline 關韻楓 RO Asset Management 2004-11-19 2008-07-09
AHM771 TUCKER Andrew James Francis RO Dealing in Securities 2011-01-18 2012-06-29
AHM771 TUCKER Andrew James Francis RO Leveraged Foreign Exchange Trading 2011-05-06 2012-06-29
AHM771 TUCKER Andrew James Francis RO Advising on Securities 2011-01-18 2012-06-29
AHN065 KWONG Chi Yun, Anita 鄺子欣 RE Dealing in Securities 2003-04-01 2004-03-24
AHN065 KWONG Chi Yun, Anita 鄺子欣 RE Advising on Securities 2003-04-01 2004-03-24
AHN065 KWONG Chi Yun, Anita 鄺子欣 RE Advising on Corporate Finance 2003-04-01 2004-03-24
AHN065 KWONG Chi Yun, Anita 鄺子欣 RE Asset Management 2003-04-01 2004-03-24
AHX879 MAN Wing Yee, Winnie 文詠怡 RE Dealing in Securities 2006-05-10 2007-10-18
AIO497 MAK Sau Fong, Doris 麥秀芳 RE Dealing in Securities 2003-04-01 2011-03-31
AIO497 MAK Sau Fong, Doris 麥秀芳 RE Advising on Securities 2003-04-01 2011-03-31
AIO497 MAK Sau Fong, Doris 麥秀芳 RE Advising on Corporate Finance 2003-04-01 2004-09-21
AIO497 MAK Sau Fong, Doris 麥秀芳 RE Asset Management 2003-04-01 2008-07-09
AJO220 HA Dzung-sean RE Dealing in Securities 2004-04-24 2005-11-04
ALQ164 LAM Wing Shuen 林泳鏇 RE Dealing in Securities 2005-01-26 2005-08-16
AMM220 SHI Xiaoting 施曉廷 RE Dealing in Securities 2005-11-24 2011-04-21
AMZ895 NIZAMI Zubair RE Dealing in Securities 2013-02-26 2013-09-05
AMZ895 NIZAMI Zubair RO Dealing in Securities 2013-09-05
ANF295 MOK Pui Man 莫佩雯 RE Dealing in Securities 2009-03-09 2011-11-30
ANS149 CHAN Yee Lin, Elaine 陳漪漣 RE Dealing in Securities 2016-04-22
ANS149 CHAN Yee Lin, Elaine 陳漪漣 RE Leveraged Foreign Exchange Trading 2016-10-19
AOB002 CHAN King Leung 陳景良 RE Dealing in Securities 2012-02-16 2015-03-27
AOB002 CHAN King Leung 陳景良 RO Dealing in Securities 2007-02-07 2012-02-16
AOB002 CHAN King Leung 陳景良 RE Leveraged Foreign Exchange Trading 2012-02-16 2015-03-27
AOY505 LAM Chi Ping 林治平 RE Dealing in Securities 2007-07-16 2007-09-01
ARL119 CHAN Albert 陳雅品 RO Dealing in Securities 2018-11-07
ARL119 CHAN Albert 陳雅品 RE Leveraged Foreign Exchange Trading 2017-05-18 2018-01-19
ARL119 CHAN Albert 陳雅品 RO Leveraged Foreign Exchange Trading 2018-01-19
ARP643 ROSENSWEIG William Ernest RO Dealing in Securities 2010-04-09
ARP643 ROSENSWEIG William Ernest RO Leveraged Foreign Exchange Trading 2011-01-04
ARP643 ROSENSWEIG William Ernest RO Advising on Securities 2010-04-09 2014-07-03
ARR636 CHIANG Fuk Yip, Philip 蔣福業 RE Dealing in Securities 2011-10-24
ARR636 CHIANG Fuk Yip, Philip 蔣福業 RE Leveraged Foreign Exchange Trading 2011-10-24
ASY528 SZE Hiu Wing 施曉穎 RE Dealing in Securities 2012-10-04 2013-03-15
ATR500 LEES Robert Andrew RE Dealing in Securities 2009-10-13 2012-10-09
ATR500 LEES Robert Andrew RE Dealing in Securities 2013-04-15 2013-06-01
ATR500 LEES Robert Andrew RO Dealing in Securities 2012-10-09 2013-04-15
ATR500 LEES Robert Andrew RO Dealing in Securities 2018-03-22
ATS483 MEEK Richard Gordon RO Dealing in Securities 2009-11-23 2012-08-18
AUR559 KWAN Ting Gee 關婷之 RE Dealing in Securities 2012-07-24 2014-12-12
AVU837 GOTHARD Christopher Neil Averill RO Leveraged Foreign Exchange Trading 2011-01-04 2013-07-25
AVU837 GOTHARD Christopher Neil Averill RO Leveraged Foreign Exchange Trading 2016-06-23
AVU838 HAIMELIN Thomas Charles RE Leveraged Foreign Exchange Trading 2011-01-04 2012-07-21
AVW853 KIMURA Mitsuko RE Dealing in Securities 2016-09-20 2018-08-24
AVX426 FENG Anna Hua 馮華 RE Dealing in Securities 2010-09-22 2012-03-02
AWQ529 KU Man Ling 古曼玲 RE Dealing in Securities 2012-10-26 2013-07-12
AXH808 KWONG See Hin 鄺詩軒 RE Dealing in Securities 2016-01-28 2017-02-28
AXK985 MCLAREN Colin Scott RE Dealing in Securities 2011-06-28 2012-09-05
AXK985 MCLAREN Colin Scott RO Dealing in Securities 2012-09-05
AXK985 MCLAREN Colin Scott RE Leveraged Foreign Exchange Trading 2011-06-28 2012-09-05
AXK985 MCLAREN Colin Scott RO Leveraged Foreign Exchange Trading 2012-09-05
AXK985 MCLAREN Colin Scott RO Advising on Securities 2012-09-05 2014-07-03
AXK988 PARK Yi Hyun RE Dealing in Securities 2011-06-28 2012-04-25
AXK988 PARK Yi Hyun RE Leveraged Foreign Exchange Trading 2011-06-28 2012-04-25
AXN297 MAK Wing Sze 麥詠詩 RE Dealing in Securities 2011-06-29 2018-08-24
AXN297 MAK Wing Sze 麥詠詩 RE Leveraged Foreign Exchange Trading 2011-06-29 2018-08-24
AYS958 HENDERSON Alexander Bernard RE Leveraged Foreign Exchange Trading 2012-01-03 2016-01-18
AZN480 PRICE Darren James RE Dealing in Securities 2012-06-11 2012-09-11
AZN480 PRICE Darren James RE Dealing in Securities 2012-09-18
AZV154 WONG Wing Sze Amy 黃詠詩 RE Dealing in Securities 2012-07-12 2015-12-12
AZV155 WONG Oi Yun Hannah 黃凱恩 RE Dealing in Securities 2012-07-12 2013-10-28
AZV164 LAKHAMSEY Tanya Abbas RE Dealing in Securities 2012-07-16 2012-11-02
AZV165 YUNG Lai 容驪 RE Dealing in Securities 2012-07-12 2013-04-22
AZV166 YEUNG Kwan Nga 楊鈞雅 RE Dealing in Securities 2012-07-12 2013-09-02
AZV774 LO Chi Ho Albert 羅志豪 RO Dealing in Securities 2012-08-03 2015-01-02
BAA687 YEUNG Kee Ruby 楊琪 RE Dealing in Securities 2012-08-08 2018-03-05
BAE027 SCHOENBACH Christopher Rainer Gerhard RE Leveraged Foreign Exchange Trading 2012-10-08 2013-02-09
BAL418 LIN Gary 林新凡 RE Leveraged Foreign Exchange Trading 2012-11-12 2013-05-31
BAL418 LIN Gary 林新凡 RO Leveraged Foreign Exchange Trading 2013-05-31 2016-04-14
BAP997 YUEN Sau Ha 袁秀霞 RE Dealing in Securities 2012-12-21 2018-08-24
BBP564 LEUNG Po Yu 梁寶愉 RE Dealing in Securities 2013-07-22 2014-04-18
BBX342 PAN Xuan 潘璇 RE Leveraged Foreign Exchange Trading 2013-09-30
BCD286 RAUTENBERG Gert 歐亞峰 RO Dealing in Securities 2014-01-23 2014-07-31
BCK772 LEUNG Man Sik Manz 梁文適 RE Dealing in Securities 2013-12-02 2015-06-11
BCW430 HIGGINS Caroline Mary RO Dealing in Securities 2014-04-14 2016-06-11
BDG886 WONG Terence 黃庭禮 RE Dealing in Securities 2014-04-16 2014-10-23
BDH011 HUNG Chun Leong 熊俊亮 RE Dealing in Securities 2014-04-14 2018-08-24
BDH229 LAM Wing Yin Melanie 林穎妍 RE Dealing in Securities 2014-04-14 2014-11-07
BDH229 LAM Wing Yin Melanie 林穎妍 RE Dealing in Securities 2016-01-28 2018-08-24
BDR232 LI Ci 李詞 RE Dealing in Securities 2014-07-03 2014-11-28
BDX508 CHAN Yin Hing Hideaky 陳燕卿 RE Dealing in Securities 2015-12-14 2016-06-28
BEB605 LEE Natalie Shuk Ling 利淑鈴 RE Dealing in Securities 2014-08-28 2016-04-21
BEB607 IP Man Yuen 葉文遠 RE Dealing in Securities 2014-08-28 2015-05-30
BGV486 LAW Kwok Yan 羅幗欣 RE Dealing in Securities 2016-01-20 2017-03-28
BGX584 FAAN Hoi Kit 范凱傑 RE Dealing in Securities 2016-01-28 2018-08-17
BHD182 HO Ka Man 何嘉敏 RE Dealing in Securities 2016-03-17 2018-03-31
BHD184 CHEUNG Yuk Chu Helen 張昱珠 RE Dealing in Securities 2016-03-17 2017-02-28
BHG365 CHAN Sheung Kuen Calvin 陳商權 RE Dealing in Securities 2016-04-05 2018-08-24
BHL341 CULLY Christopher Terence RE Leveraged Foreign Exchange Trading 2016-05-30 2016-11-19
BIH451 PIGOTT Christopher Charles RE Dealing in Securities 2016-10-03
BIH451 PIGOTT Christopher Charles RE Leveraged Foreign Exchange Trading 2016-10-03
BIJ821 FARLEY Shane Thomas RE Leveraged Foreign Exchange Trading 2016-10-24
BJH123 CHAN Jacqueline Bernabe 陳翠萍 RE Dealing in Securities 2017-03-30 2018-08-24
BKY630 LAM Ambrose Kin Shek 林建碩 RE Dealing in Securities 2017-09-27
BMT395 YOSHIHARA Munenori RE Dealing in Securities 2018-06-13
BMT395 YOSHIHARA Munenori RE Leveraged Foreign Exchange Trading 2018-06-13

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