These are the licence-holders that were found for SFC licence institution AAG378 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 |
|---|---|---|---|---|---|---|
| AAA014 | NG Siu Wai | 伍兆煒 | RE | Dealing in Securities | 2005-03-21 | |
| AAA018 | TANG Chi Cheung | 鄧志章 | RE | Dealing in Securities | 2005-04-01 | |
| AAA024 | MO Loong Kwong | 繆隆光 | RE | Dealing in Securities | 2005-04-26 | 2005-07-12 |
| AAA024 | MO Loong Kwong | 繆隆光 | RO | Dealing in Securities | 2005-07-12 | |
| AAA418 | CHOW Sui Kwun, Anna | 周穗君 | RE | Dealing in Securities | 2003-04-01 | 2003-11-01 |
| AAA418 | CHOW Sui Kwun, Anna | 周穗君 | RE | Dealing in Securities | 2005-10-24 | 2018-09-01 |
| AAA418 | CHOW Sui Kwun, Anna | 周穗君 | RE | Advising on Securities | 2003-04-01 | 2003-11-01 |
| AAA418 | CHOW Sui Kwun, Anna | 周穗君 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-01 |
| AAA418 | CHOW Sui Kwun, Anna | 周穗君 | RE | Asset Management | 2003-04-01 | 2003-11-01 |
| AAA819 | LAM Tak Ming, Patrick | 林德明 | RE | Dealing in Securities | 2003-04-01 | |
| AAA819 | LAM Tak Ming, Patrick | 林德明 | RE | Advising on Securities | 2003-04-01 | 2004-01-14 |
| AAA819 | LAM Tak Ming, Patrick | 林德明 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-14 |
| AAA819 | LAM Tak Ming, Patrick | 林德明 | RE | Asset Management | 2003-04-01 | 2004-01-14 |
| AAA830 | YIU Chi Yin, Simon | 姚志賢 | RE | Dealing in Securities | 2003-04-01 | 2003-09-01 |
| AAA830 | YIU Chi Yin, Simon | 姚志賢 | RE | Advising on Securities | 2003-04-01 | 2003-09-01 |
| AAA830 | YIU Chi Yin, Simon | 姚志賢 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-01 |
| AAA830 | YIU Chi Yin, Simon | 姚志賢 | RE | Asset Management | 2003-04-01 | 2003-09-01 |
| AAA983 | FOG Hau Pui | 霍厚培 | RE | Dealing in Securities | 2003-04-01 | 2014-11-01 |
| AAA983 | FOG Hau Pui | 霍厚培 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAA983 | FOG Hau Pui | 霍厚培 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAA983 | FOG Hau Pui | 霍厚培 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAB283 | WONG Kwan Hung, Tony | 黃君雄 | RE | Dealing in Securities | 2003-04-01 | |
| AAB283 | WONG Kwan Hung, Tony | 黃君雄 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAB283 | WONG Kwan Hung, Tony | 黃君雄 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAB283 | WONG Kwan Hung, Tony | 黃君雄 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAB364 | CHAN Ting Kwok, Peter | 陳定國 | RE | Dealing in Securities | 2003-04-01 | |
| AAB364 | CHAN Ting Kwok, Peter | 陳定國 | RE | Advising on Securities | 2003-04-01 | 2004-01-14 |
| AAB364 | CHAN Ting Kwok, Peter | 陳定國 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-14 |
| AAB364 | CHAN Ting Kwok, Peter | 陳定國 | RE | Asset Management | 2003-04-01 | 2004-01-14 |
| AAB526 | CHEUNG Wai Leuk | 張懷略 | RE | Dealing in Securities | 2003-04-01 | |
| AAB526 | CHEUNG Wai Leuk | 張懷略 | RE | Advising on Securities | 2003-04-01 | 2005-02-22 |
| AAB526 | CHEUNG Wai Leuk | 張懷略 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-22 |
| AAB526 | CHEUNG Wai Leuk | 張懷略 | RE | Asset Management | 2003-04-01 | 2005-02-22 |
| AAB567 | MUNG Wing Sing | 蒙永成 | RE | Dealing in Securities | 2003-04-01 | 2003-12-30 |
| AAB567 | MUNG Wing Sing | 蒙永成 | RE | Dealing in Securities | 2007-10-08 | 2008-05-13 |
| AAB567 | MUNG Wing Sing | 蒙永成 | RE | Advising on Securities | 2003-04-01 | 2003-12-30 |
| AAB567 | MUNG Wing Sing | 蒙永成 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-30 |
| AAB567 | MUNG Wing Sing | 蒙永成 | RE | Asset Management | 2003-04-01 | 2003-12-30 |
| AAC078 | ZAI Mer Ching | 柴懋卿 | RE | Dealing in Securities | 2003-04-01 | |
| AAC078 | ZAI Mer Ching | 柴懋卿 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAC078 | ZAI Mer Ching | 柴懋卿 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAC078 | ZAI Mer Ching | 柴懋卿 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAC301 | WONG Shue Yung, Teresa | 王樹蓉 | RO | Dealing in Securities | 2003-04-01 | 2006-02-16 |
| AAC301 | WONG Shue Yung, Teresa | 王樹蓉 | RO | Advising on Securities | 2003-04-01 | 2006-02-16 |
| AAC301 | WONG Shue Yung, Teresa | 王樹蓉 | RO | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AAC301 | WONG Shue Yung, Teresa | 王樹蓉 | RO | Asset Management | 2003-04-01 | 2005-01-05 |
| AAC576 | WONG Chi Kan | 黃志勤 | RE | Dealing in Securities | 2005-01-31 | 2012-09-05 |
| AAC678 | CHAN Keal Hung | 陳僑亨 | RE | Dealing in Securities | 2003-04-01 | |
| AAC678 | CHAN Keal Hung | 陳僑亨 | RE | Advising on Securities | 2003-04-01 | 2004-01-14 |
| AAC678 | CHAN Keal Hung | 陳僑亨 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-14 |
| AAC678 | CHAN Keal Hung | 陳僑亨 | RE | Asset Management | 2003-04-01 | 2004-01-14 |
| AAD313 | WU King Cheong | 胡景章 | RE | Dealing in Securities | 2003-04-01 | |
| AAD313 | WU King Cheong | 胡景章 | RE | Advising on Securities | 2003-04-01 | 2005-03-02 |
| AAD313 | WU King Cheong | 胡景章 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-03-02 |
| AAD313 | WU King Cheong | 胡景章 | RE | Asset Management | 2003-04-01 | 2005-03-02 |
| AAD396 | FAN Suk Yee, Linda | 范淑意 | RE | Dealing in Securities | 2003-04-01 | 2008-05-30 |
| AAD396 | FAN Suk Yee, Linda | 范淑意 | RE | Advising on Securities | 2003-04-01 | 2004-01-14 |
| AAD396 | FAN Suk Yee, Linda | 范淑意 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-14 |
| AAD396 | FAN Suk Yee, Linda | 范淑意 | RE | Asset Management | 2003-04-01 | 2004-01-14 |
| AAD944 | LEE Kwok Kwong | 李國光 | RE | Dealing in Securities | 2003-04-01 | |
| AAD944 | LEE Kwok Kwong | 李國光 | RE | Advising on Securities | 2003-04-01 | 2004-03-30 |
| AAD944 | LEE Kwok Kwong | 李國光 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-30 |
| AAD944 | LEE Kwok Kwong | 李國光 | RE | Asset Management | 2003-04-01 | 2004-03-30 |
| AAD948 | CHAN Po Hing | 陳寶卿 | RE | Dealing in Securities | 2003-04-01 | |
| AAD948 | CHAN Po Hing | 陳寶卿 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| AAD948 | CHAN Po Hing | 陳寶卿 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-27 |
| AAD948 | CHAN Po Hing | 陳寶卿 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| AAD954 | LAM Yuen Yee, Angela | 林婉意 | RO | Dealing in Securities | 2005-06-21 | |
| AAE184 | YU Kam Fai, Daniel | 余錦輝 | RE | Dealing in Securities | 2003-05-13 | 2006-05-29 |
| AAE562 | WONG Kam Wing | 黃錦榮 | RO | Dealing in Securities | 2003-04-01 | 2003-10-27 |
| AAE562 | WONG Kam Wing | 黃錦榮 | RO | Advising on Securities | 2003-04-01 | 2003-10-27 |
| AAE562 | WONG Kam Wing | 黃錦榮 | RO | Advising on Corporate Finance | 2003-04-01 | 2003-10-27 |
| AAE562 | WONG Kam Wing | 黃錦榮 | RO | Asset Management | 2003-04-01 | 2003-10-27 |
| AAE615 | LAM Haw Shun, Dennis | 林孝信 | RE | Dealing in Securities | 2010-04-14 | 2013-10-02 |
| AAE615 | LAM Haw Shun, Dennis | 林孝信 | RE | Advising on Securities | 2010-04-14 | 2013-10-02 |
| AAG078 | KOO Chia Ling, William | 顧家麟 | RE | Dealing in Securities | 2003-04-01 | |
| AAG078 | KOO Chia Ling, William | 顧家麟 | RE | Advising on Securities | 2003-04-01 | 2004-01-27 |
| AAG078 | KOO Chia Ling, William | 顧家麟 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-27 |
| AAG078 | KOO Chia Ling, William | 顧家麟 | RE | Asset Management | 2003-04-01 | 2004-01-27 |
| AAG334 | HO Shek Kwong | 何錫光 | RE | Dealing in Securities | 2003-04-01 | |
| AAG334 | HO Shek Kwong | 何錫光 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAG334 | HO Shek Kwong | 何錫光 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAG334 | HO Shek Kwong | 何錫光 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAG340 | LIU Sau Yee, Jeannie | 廖秀儀 | RE | Dealing in Securities | 2003-04-01 | 2014-10-13 |
| AAG340 | LIU Sau Yee, Jeannie | 廖秀儀 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAG340 | LIU Sau Yee, Jeannie | 廖秀儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAG340 | LIU Sau Yee, Jeannie | 廖秀儀 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAG341 | MAN Wing Tuen | 孟永端 | RE | Dealing in Securities | 2003-04-01 | |
| AAG341 | MAN Wing Tuen | 孟永端 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AAG341 | MAN Wing Tuen | 孟永端 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AAG341 | MAN Wing Tuen | 孟永端 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AAG347 | YUE Wai Keung | 余維強 | RO | Dealing in Securities | 2003-04-01 | |
| AAG347 | YUE Wai Keung | 余維強 | RO | Advising on Securities | 2003-04-01 | |
| AAG347 | YUE Wai Keung | 余維強 | RO | Advising on Corporate Finance | 2003-04-01 | 2007-04-11 |
| AAG347 | YUE Wai Keung | 余維強 | RO | Asset Management | 2003-04-01 | 2007-04-11 |
| AAG824 | CHEUNG Wing Kay | 張永奇 | RE | Dealing in Securities | 2003-04-01 | |
| AAG824 | CHEUNG Wing Kay | 張永奇 | RE | Advising on Securities | 2003-04-01 | 2003-11-18 |
| AAG824 | CHEUNG Wing Kay | 張永奇 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-18 |
| AAG824 | CHEUNG Wing Kay | 張永奇 | RE | Asset Management | 2003-04-01 | 2003-11-18 |
| AAH326 | CHOW Foon Har | 曹煥霞 | RE | Dealing in Securities | 2005-08-16 | |
| AAH690 | YAU Chiu Tong | 邱朝棠 | RE | Dealing in Securities | 2003-04-01 | 2017-01-31 |
| AAH690 | YAU Chiu Tong | 邱朝棠 | RE | Advising on Securities | 2003-04-01 | 2005-03-01 |
| AAH690 | YAU Chiu Tong | 邱朝棠 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-03-01 |
| AAH690 | YAU Chiu Tong | 邱朝棠 | RE | Asset Management | 2003-04-01 | 2005-03-01 |
| AAJ048 | LEUNG Ka Keung | 梁家強 | RE | Dealing in Securities | 2008-04-15 | |
| AAK197 | KWAN Oi Lin | 關愛蓮 | RE | Dealing in Securities | 2003-04-01 | 2003-04-29 |
| AAK197 | KWAN Oi Lin | 關愛蓮 | RE | Advising on Securities | 2003-04-01 | 2003-04-29 |
| AAK197 | KWAN Oi Lin | 關愛蓮 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-29 |
| AAK197 | KWAN Oi Lin | 關愛蓮 | RE | Asset Management | 2003-04-01 | 2003-04-29 |
| AAV322 | TONG Leung Sang | 湯亮生 | RO | Dealing in Securities | 2003-05-19 | 2015-10-19 |
| AAV322 | TONG Leung Sang | 湯亮生 | RO | Advising on Securities | 2003-05-19 | 2015-10-19 |
| AAV670 | CHU Tai On, Louis | 朱大安 | RE | Dealing in Securities | 2003-04-01 | |
| AAV670 | CHU Tai On, Louis | 朱大安 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAV670 | CHU Tai On, Louis | 朱大安 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAV670 | CHU Tai On, Louis | 朱大安 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAV837 | MAN Kwong Wai | 文廣威 | RE | Dealing in Securities | 2005-04-01 | 2014-01-07 |
| AAV881 | LAM Pui Leung, John | 林沛良 | RE | Dealing in Securities | 2003-04-01 | 2012-10-01 |
| AAV881 | LAM Pui Leung, John | 林沛良 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAV881 | LAM Pui Leung, John | 林沛良 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAV881 | LAM Pui Leung, John | 林沛良 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAW781 | CHOY Lin Yung | 蔡連勇 | RE | Dealing in Securities | 2003-04-01 | |
| AAW781 | CHOY Lin Yung | 蔡連勇 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAW781 | CHOY Lin Yung | 蔡連勇 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAW781 | CHOY Lin Yung | 蔡連勇 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAY194 | LAW YEUNG Bik Ling | 羅楊碧齡 | RE | Dealing in Securities | 2003-04-01 | 2005-05-27 |
| AAY194 | LAW YEUNG Bik Ling | 羅楊碧齡 | RE | Advising on Securities | 2003-04-01 | 2005-03-01 |
| AAY194 | LAW YEUNG Bik Ling | 羅楊碧齡 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-03-01 |
| AAY194 | LAW YEUNG Bik Ling | 羅楊碧齡 | RE | Asset Management | 2003-04-01 | 2005-03-01 |
| AAZ853 | YUEN Ho Cheong | 阮可昌 | RE | Dealing in Securities | 2003-04-01 | |
| AAZ853 | YUEN Ho Cheong | 阮可昌 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAZ853 | YUEN Ho Cheong | 阮可昌 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAZ853 | YUEN Ho Cheong | 阮可昌 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AAZ854 | YU Tak Fai | 余德輝 | RE | Dealing in Securities | 2003-04-01 | |
| AAZ854 | YU Tak Fai | 余德輝 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AAZ854 | YU Tak Fai | 余德輝 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AAZ854 | YU Tak Fai | 余德輝 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| ABG389 | TSE Kam Yip | 謝金葉 | RE | Dealing in Securities | 2005-12-01 | 2007-06-27 |
| ABG669 | WONG Hing Lun | 黃慶輪 | RE | Dealing in Securities | 2008-04-15 | |
| ABI034 | CHAN Chee Hong | 陳治康 | RE | Dealing in Securities | 2003-04-01 | |
| ABI034 | CHAN Chee Hong | 陳治康 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| ABI034 | CHAN Chee Hong | 陳治康 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| ABI034 | CHAN Chee Hong | 陳治康 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| ABP234 | LAU Wing Kwan, Beatrice | 劉永均 | RE | Dealing in Securities | 2003-04-01 | 2015-08-24 |
| ABP234 | LAU Wing Kwan, Beatrice | 劉永均 | RE | Advising on Securities | 2003-04-01 | 2004-02-17 |
| ABP234 | LAU Wing Kwan, Beatrice | 劉永均 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-02-17 |
| ABP234 | LAU Wing Kwan, Beatrice | 劉永均 | RE | Asset Management | 2003-04-01 | 2004-02-17 |
| ABP676 | FOK Chi Bun, Ben | 霍志斌 | RE | Dealing in Securities | 2003-04-01 | 2006-12-01 |
| ABP676 | FOK Chi Bun, Ben | 霍志斌 | RE | Dealing in Securities | 2007-03-15 | |
| ABP676 | FOK Chi Bun, Ben | 霍志斌 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| ABP676 | FOK Chi Bun, Ben | 霍志斌 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| ABP676 | FOK Chi Bun, Ben | 霍志斌 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| ACA792 | FAN Chun Keung | 范進強 | RE | Dealing in Securities | 2006-01-18 | 2015-12-11 |
| ACE525 | NG Kwok Chun | 伍國俊 | RE | Dealing in Securities | 2008-04-10 | 2014-09-23 |
| ACE847 | HO Wan Sai, Rita | 何尹茜 | RE | Dealing in Securities | 2003-04-01 | |
| ACE847 | HO Wan Sai, Rita | 何尹茜 | RE | Advising on Securities | 2003-04-01 | 2003-09-29 |
| ACE847 | HO Wan Sai, Rita | 何尹茜 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-29 |
| ACE847 | HO Wan Sai, Rita | 何尹茜 | RE | Asset Management | 2003-04-01 | 2003-09-29 |
| ACS499 | WONG Kwan Chung | 黃群宗 | RE | Dealing in Securities | 2003-04-01 | 2005-05-18 |
| ACS499 | WONG Kwan Chung | 黃群宗 | RE | Advising on Securities | 2003-04-01 | 2004-01-14 |
| ACS499 | WONG Kwan Chung | 黃群宗 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-14 |
| ACS499 | WONG Kwan Chung | 黃群宗 | RE | Asset Management | 2003-04-01 | 2004-01-14 |
| ACV705 | CHAN Yee Fun, Fanny | 陳綺芬 | RE | Dealing in Securities | 2003-04-01 | |
| ACV705 | CHAN Yee Fun, Fanny | 陳綺芬 | RE | Advising on Securities | 2003-04-01 | |
| ACV705 | CHAN Yee Fun, Fanny | 陳綺芬 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| ACV705 | CHAN Yee Fun, Fanny | 陳綺芬 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| ACW802 | LAM Kin Wah, Kevin | 林健華 | RE | Dealing in Securities | 2008-04-11 | |
| ADC989 | FUNG Man Chun | 馮文俊 | RE | Dealing in Securities | 2003-10-13 | 2004-03-16 |
| ADH205 | SIN Chung Wai | 單松偉 | RE | Dealing in Securities | 2003-04-01 | |
| ADH205 | SIN Chung Wai | 單松偉 | RE | Advising on Securities | 2003-04-01 | 2005-01-31 |
| ADH205 | SIN Chung Wai | 單松偉 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-31 |
| ADH205 | SIN Chung Wai | 單松偉 | RE | Asset Management | 2003-04-01 | 2005-01-31 |
| ADH912 | WONG Sing Wai, Eric | 黃誠偉 | RE | Dealing in Securities | 2004-04-01 | |
| ADN448 | TSOI Kap | 蔡革 | RE | Dealing in Securities | 2007-10-05 | 2007-11-08 |
| ADN448 | TSOI Kap | 蔡革 | RO | Dealing in Securities | 2007-11-08 | |
| ADN448 | TSOI Kap | 蔡革 | RE | Advising on Securities | 2007-10-05 | 2007-11-08 |
| ADN448 | TSOI Kap | 蔡革 | RO | Advising on Securities | 2007-11-08 | |
| ADO455 | LEUNG Kwok Keung | 梁國強 | RE | Dealing in Securities | 2005-04-01 | 2014-01-07 |
| ADR140 | PONG Sum Mei, Semee | 龐森美 | RE | Dealing in Securities | 2003-04-01 | 2003-11-12 |
| ADR140 | PONG Sum Mei, Semee | 龐森美 | RE | Advising on Securities | 2003-04-01 | 2003-11-12 |
| ADR140 | PONG Sum Mei, Semee | 龐森美 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-12 |
| ADR140 | PONG Sum Mei, Semee | 龐森美 | RE | Asset Management | 2003-04-01 | 2003-11-12 |
| ADS049 | LAM Charn Hung | 林燦洪 | RE | Dealing in Securities | 2003-04-01 | 2004-12-31 |
| ADS049 | LAM Charn Hung | 林燦洪 | RE | Advising on Securities | 2003-04-01 | 2004-12-31 |
| ADS049 | LAM Charn Hung | 林燦洪 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-12-31 |
| ADS049 | LAM Charn Hung | 林燦洪 | RE | Asset Management | 2003-04-01 | 2004-12-31 |
| ADS214 | HO Chi Ho, Aaron | 何志豪 | RE | Dealing in Securities | 2003-04-01 | 2005-09-30 |
| ADS214 | HO Chi Ho, Aaron | 何志豪 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| ADS214 | HO Chi Ho, Aaron | 何志豪 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| ADS214 | HO Chi Ho, Aaron | 何志豪 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| ADW132 | LO Kam Chiu | 盧錦潮 | RE | Dealing in Securities | 2003-04-01 | |
| ADW132 | LO Kam Chiu | 盧錦潮 | RE | Advising on Securities | 2003-04-01 | 2003-08-11 |
| ADW132 | LO Kam Chiu | 盧錦潮 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-08-11 |
| ADW132 | LO Kam Chiu | 盧錦潮 | RE | Asset Management | 2003-04-01 | 2003-08-11 |
| ADY820 | LUI Hung | 呂虹 | RE | Dealing in Securities | 2007-07-03 | 2012-01-27 |
| ADZ125 | YIP Shuk Yee | 葉淑儀 | RE | Dealing in Securities | 2008-05-19 | 2015-04-24 |
| AEA467 | TU Yu-hui | 凃玉慧 | RE | Dealing in Securities | 2005-06-12 | 2006-07-03 |
| AEC031 | FUNG Wing See | 馮穎思 | RO | Dealing in Securities | 2003-04-01 | |
| AEC031 | FUNG Wing See | 馮穎思 | RO | Advising on Securities | 2003-04-01 | |
| AEC031 | FUNG Wing See | 馮穎思 | RO | Advising on Corporate Finance | 2003-04-01 | 2007-02-08 |
| AEC031 | FUNG Wing See | 馮穎思 | RO | Asset Management | 2003-04-01 | 2007-02-08 |
| AED505 | CHANG Tung Hau | 張東孝 | RE | Dealing in Securities | 2003-04-01 | 2009-08-01 |
| AED505 | CHANG Tung Hau | 張東孝 | RE | Advising on Securities | 2003-04-01 | 2003-11-19 |
| AED505 | CHANG Tung Hau | 張東孝 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-19 |
| AED505 | CHANG Tung Hau | 張東孝 | RE | Asset Management | 2003-04-01 | 2003-11-19 |
| AEF510 | TSUI Wai Ming | 徐慧明 | RE | Dealing in Securities | 2003-04-01 | |
| AEF510 | TSUI Wai Ming | 徐慧明 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AEF510 | TSUI Wai Ming | 徐慧明 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AEF510 | TSUI Wai Ming | 徐慧明 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AEI381 | LI Chiu Yin, Donna | 李超燕 | RE | Dealing in Securities | 2003-04-01 | |
| AEI381 | LI Chiu Yin, Donna | 李超燕 | RE | Advising on Securities | 2003-04-01 | 2005-02-21 |
| AEI381 | LI Chiu Yin, Donna | 李超燕 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-21 |
| AEI381 | LI Chiu Yin, Donna | 李超燕 | RE | Asset Management | 2003-04-01 | 2005-02-21 |
| AEM757 | TING Hiu Hung | 丁曉虹 | RE | Dealing in Securities | 2003-04-01 | 2013-03-08 |
| AEM757 | TING Hiu Hung | 丁曉虹 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| AEM757 | TING Hiu Hung | 丁曉虹 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-27 |
| AEM757 | TING Hiu Hung | 丁曉虹 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| AEU640 | LO Yuet Mui | 盧月梅 | RE | Dealing in Securities | 2003-04-01 | 2011-12-01 |
| AEU640 | LO Yuet Mui | 盧月梅 | RE | Advising on Securities | 2003-04-01 | 2003-11-18 |
| AEU640 | LO Yuet Mui | 盧月梅 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-18 |
| AEU640 | LO Yuet Mui | 盧月梅 | RE | Asset Management | 2003-04-01 | 2003-11-18 |
| AEV054 | LEUNG Oi Ying | 梁愛英 | RE | Dealing in Securities | 2003-04-01 | 2015-11-11 |
| AEV054 | LEUNG Oi Ying | 梁愛英 | RE | Advising on Securities | 2003-04-01 | 2005-03-01 |
| AEV054 | LEUNG Oi Ying | 梁愛英 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-03-01 |
| AEV054 | LEUNG Oi Ying | 梁愛英 | RE | Asset Management | 2003-04-01 | 2005-03-01 |
| AEV231 | CHAN Sau Yi | 陳秀儀 | RE | Dealing in Securities | 2007-03-15 | 2009-01-12 |
| AFJ454 | SUEN Hon Bun | 孫瀚斌 | RE | Dealing in Securities | 2007-08-30 | 2010-04-27 |
| AFO885 | TAM Denny Ka | 譚嘉 | RE | Dealing in Securities | 2005-04-08 | 2005-10-11 |
| AFY175 | HUI Chun Tak | 許俊德 | RE | Dealing in Securities | 2003-04-01 | 2003-07-01 |
| AFY175 | HUI Chun Tak | 許俊德 | RE | Advising on Securities | 2003-04-01 | 2003-07-01 |
| AFY175 | HUI Chun Tak | 許俊德 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-01 |
| AFY175 | HUI Chun Tak | 許俊德 | RE | Asset Management | 2003-04-01 | 2003-07-01 |
| AFZ532 | LI Xinping | 李新平 | RE | Dealing in Securities | 2003-04-01 | 2012-09-05 |
| AFZ532 | LI Xinping | 李新平 | RE | Advising on Securities | 2003-04-01 | 2005-01-05 |
| AFZ532 | LI Xinping | 李新平 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-05 |
| AFZ532 | LI Xinping | 李新平 | RE | Asset Management | 2003-04-01 | 2005-01-05 |
| AGA576 | CHOI Kai Ming | 蔡啟明 | RE | Dealing in Securities | 2006-04-06 | 2015-06-03 |
| AGG130 | CHAN King Man | 陳敬文 | RE | Dealing in Securities | 2008-04-29 | |
| AGL458 | LEE Oi See, Elsie | 李愛詩 | RE | Dealing in Securities | 2004-08-12 | 2004-09-06 |
| AGP549 | LEUNG Siu Kie, Calvin | 梁兆基 | RE | Dealing in Securities | 2005-12-06 | 2006-09-30 |
| AIZ530 | CHUNG Kin Fai | 鍾健輝 | RE | Dealing in Securities | 2005-05-11 | 2005-12-28 |
| AIZ530 | CHUNG Kin Fai | 鍾健輝 | RE | Advising on Securities | 2005-05-11 | 2005-12-28 |
| ALW959 | YUEN Kwan | 袁坤 | RE | Dealing in Securities | 2005-08-25 | 2014-03-21 |
| AMK296 | CHAN Yim | 陳艷 | RE | Dealing in Securities | 2005-09-22 | 2006-01-31 |
| AMK296 | CHAN Yim | 陳艷 | RE | Advising on Corporate Finance | 2005-09-22 | 2006-01-31 |
| ANJ323 | YIP Sai Yeung | 葉世揚 | RE | Dealing in Securities | 2006-09-27 | 2007-05-09 |
| APB340 | SO Wai Tak | 蘇煒德 | RE | Dealing in Securities | 2010-06-17 | 2011-09-26 |
| AQR577 | WONG Wai Hung | 黃偉雄 | RE | Dealing in Securities | 2008-03-18 | 2008-11-07 |
| ART685 | CHIANG Ya Chyi | 江雅琦 | RE | Dealing in Securities | 2008-12-15 | 2009-09-30 |
| ATD273 | LEUNG Chung Yi | 梁仲兒 | RE | Dealing in Securities | 2009-07-29 | |
| ATH298 | POON Ho King, Polly | 潘浩琼 | RE | Dealing in Securities | 2009-06-29 | 2018-08-05 |
| AVW684 | CHAN Suet Ching | 陳雪貞 | RE | Dealing in Securities | 2010-11-01 | |
| BDV504 | AU Hoi Tung | 歐凱東 | RE | Dealing in Securities | 2014-08-18 | 2016-05-20 |
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