Below are the licence-holders that were found for SFC licence institution AAG408 on the SFC website.
FIL Investment Management (Hong Kong) Limited
富達基金(香港)有限公司
Key for Role: RE = Respresentative, RO = Responsible Officer
| SFC code | English name | Chinese name | Role | Activity | Start date | End date |
|---|---|---|---|---|---|---|
| AAJ488 | LEE Kon Chung | 李幹聰 | RO | Dealing in Securities | 2003-04-01 | 2009-12-31 |
| AAJ488 | LEE Kon Chung | 李幹聰 | RO | Advising on Securities | 2003-04-01 | 2009-12-31 |
| AAJ488 | LEE Kon Chung | 李幹聰 | RO | Advising on Corporate Finance | 2003-04-01 | 2005-03-24 |
| AAJ488 | LEE Kon Chung | 李幹聰 | RO | Asset Management | 2003-04-01 | 2009-12-31 |
| AAJ494 | LIU Yan Sui, Allan | 廖恩樹 | RO | Dealing in Securities | 2003-04-01 | 2015-04-01 |
| AAJ494 | LIU Yan Sui, Allan | 廖恩樹 | RO | Advising on Securities | 2003-04-01 | 2015-04-01 |
| AAJ494 | LIU Yan Sui, Allan | 廖恩樹 | RO | Advising on Corporate Finance | 2003-04-01 | 2005-03-24 |
| AAJ494 | LIU Yan Sui, Allan | 廖恩樹 | RO | Asset Management | 2003-04-01 | 2015-04-01 |
| AAV490 | BOLTON Anthony John | RE | Advising on Securities | 2010-02-09 | 2014-03-31 | |
| AAV490 | BOLTON Anthony John | RE | Asset Management | 2010-02-09 | 2014-03-31 | |
| AAV628 | PHILLIPS Peter Frederick | RE | Advising on Securities | 2006-06-14 | 2008-05-02 | |
| AAV628 | PHILLIPS Peter Frederick | RE | Advising on Futures Contracts | 2006-06-14 | 2006-12-18 | |
| AAV628 | PHILLIPS Peter Frederick | RE | Asset Management | 2006-06-14 | 2008-05-02 | |
| AAW218 | CHAN Rex | 陳立樹 | RE | Advising on Securities | 2003-04-01 | 2003-08-29 |
| AAW218 | CHAN Rex | 陳立樹 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-08-29 |
| AAW218 | CHAN Rex | 陳立樹 | RE | Asset Management | 2003-04-01 | 2003-08-29 |
| AAY119 | KAM Fred | 甘任符 | RE | Advising on Securities | 2009-09-01 | 2015-05-21 |
| AAY119 | KAM Fred | 甘任符 | RE | Asset Management | 2009-09-01 | 2015-05-21 |
| ABA097 | TSE Chun Pong, Joseph | 謝振邦 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ABA097 | TSE Chun Pong, Joseph | 謝振邦 | RE | Advising on Securities | 2003-04-01 | 2012-07-06 |
| ABA097 | TSE Chun Pong, Joseph | 謝振邦 | RE | Advising on Securities | 2013-04-09 | |
| ABA097 | TSE Chun Pong, Joseph | 謝振邦 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ABA097 | TSE Chun Pong, Joseph | 謝振邦 | RE | Asset Management | 2003-04-01 | 2012-07-06 |
| ABA097 | TSE Chun Pong, Joseph | 謝振邦 | RE | Asset Management | 2013-04-09 | |
| ABD511 | CHENG Tsz Kin, Kenny | 鄭梓堅 | RE | Dealing in Securities | 2003-04-01 | 2018-03-29 |
| ABD511 | CHENG Tsz Kin, Kenny | 鄭梓堅 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| ABD511 | CHENG Tsz Kin, Kenny | 鄭梓堅 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ABD511 | CHENG Tsz Kin, Kenny | 鄭梓堅 | RE | Asset Management | 2003-04-01 | 2018-03-29 |
| ABE420 | LEUNG Kin Fai | 梁健輝 | RE | Advising on Securities | 2014-08-13 | 2017-06-30 |
| ABE420 | LEUNG Kin Fai | 梁健輝 | RE | Asset Management | 2014-08-13 | 2017-06-30 |
| ABH270 | LEE Wai Kwok, Ignatius | 李偉國 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ABH270 | LEE Wai Kwok, Ignatius | 李偉國 | RE | Advising on Securities | 2003-04-01 | 2008-09-30 |
| ABH270 | LEE Wai Kwok, Ignatius | 李偉國 | RE | Advising on Futures Contracts | 2003-04-01 | 2008-09-30 |
| ABH270 | LEE Wai Kwok, Ignatius | 李偉國 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ABH270 | LEE Wai Kwok, Ignatius | 李偉國 | RE | Asset Management | 2003-04-01 | 2008-09-30 |
| ABH654 | FU Wai Man | 傅偉民 | RE | Dealing in Securities | 2003-04-01 | 2008-03-26 |
| ABH654 | FU Wai Man | 傅偉民 | RO | Dealing in Securities | 2008-03-26 | 2008-05-07 |
| ABH654 | FU Wai Man | 傅偉民 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| ABH654 | FU Wai Man | 傅偉民 | RE | Advising on Securities | 2007-06-28 | 2008-03-26 |
| ABH654 | FU Wai Man | 傅偉民 | RO | Advising on Securities | 2008-03-26 | 2008-05-07 |
| ABH654 | FU Wai Man | 傅偉民 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ABH654 | FU Wai Man | 傅偉民 | RE | Asset Management | 2003-04-01 | 2004-10-20 |
| ABH654 | FU Wai Man | 傅偉民 | RE | Asset Management | 2007-06-28 | 2008-05-07 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RE | Dealing in Securities | 2012-01-03 | 2012-05-08 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RO | Dealing in Securities | 2012-05-08 | 2015-08-28 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RE | Advising on Securities | 2003-04-01 | 2003-12-31 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RE | Advising on Securities | 2012-01-03 | 2012-05-08 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RO | Advising on Securities | 2012-05-08 | 2015-08-28 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-31 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RE | Asset Management | 2003-04-01 | 2003-12-31 |
| ABM471 | LEE Kam Wing, Bruno | 李錦榮 | RE | Asset Management | 2012-01-03 | 2015-08-28 |
| ABN235 | LEE Mei Ha | 李美霞 | RE | Dealing in Securities | 2004-10-11 | 2006-03-31 |
| ABN235 | LEE Mei Ha | 李美霞 | RE | Advising on Securities | 2005-01-24 | 2006-03-31 |
| ABN235 | LEE Mei Ha | 李美霞 | RE | Asset Management | 2004-10-11 | 2006-03-31 |
| ABN710 | NORTHWOOD Mark David | RE | Dealing in Securities | 2003-04-01 | 2008-11-17 | |
| ABN710 | NORTHWOOD Mark David | RO | Dealing in Securities | 2008-11-17 | 2016-04-15 | |
| ABN710 | NORTHWOOD Mark David | RE | Advising on Securities | 2003-04-01 | 2004-10-20 | |
| ABN710 | NORTHWOOD Mark David | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 | |
| ABN710 | NORTHWOOD Mark David | RE | Asset Management | 2003-04-01 | 2008-11-17 | |
| ABN710 | NORTHWOOD Mark David | RO | Asset Management | 2008-11-17 | 2016-04-15 | |
| ABP979 | ROGERS Nicholas David | RE | Dealing in Securities | 2004-02-24 | 2005-07-15 | |
| ABP979 | ROGERS Nicholas David | RO | Dealing in Securities | 2005-07-15 | 2008-03-31 | |
| ABP979 | ROGERS Nicholas David | RE | Advising on Securities | 2004-10-15 | 2005-07-15 | |
| ABP979 | ROGERS Nicholas David | RO | Advising on Securities | 2005-07-15 | 2008-03-31 | |
| ABP979 | ROGERS Nicholas David | RE | Asset Management | 2004-02-24 | 2005-07-15 | |
| ABP979 | ROGERS Nicholas David | RO | Asset Management | 2005-07-15 | 2008-03-31 | |
| ABS671 | POLCHAROEN Yosawadee | RE | Dealing in Securities | 2003-04-01 | 2004-10-08 | |
| ABS671 | POLCHAROEN Yosawadee | RE | Advising on Securities | 2003-04-01 | 2004-10-08 | |
| ABS671 | POLCHAROEN Yosawadee | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-08 | |
| ABS671 | POLCHAROEN Yosawadee | RE | Asset Management | 2003-04-01 | 2004-10-08 | |
| ABY973 | LAM Anne | 林雅妮 | RE | Dealing in Securities | 2003-04-01 | 2008-09-30 |
| ABY973 | LAM Anne | 林雅妮 | RE | Advising on Securities | 2003-04-01 | 2008-09-30 |
| ABY973 | LAM Anne | 林雅妮 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ABY973 | LAM Anne | 林雅妮 | RE | Asset Management | 2003-04-01 | 2008-09-30 |
| ACA839 | CHU Fong Kwan | 朱方群 | RE | Dealing in Securities | 2005-02-02 | 2005-06-15 |
| ACA839 | CHU Fong Kwan | 朱方群 | RE | Advising on Securities | 2005-02-03 | 2005-06-15 |
| ACA839 | CHU Fong Kwan | 朱方群 | RE | Asset Management | 2005-02-02 | 2005-06-15 |
| ACD876 | HO Kai Yin, Anthony | 何啟賢 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ACD876 | HO Kai Yin, Anthony | 何啟賢 | RE | Dealing in Securities | 2009-01-29 | 2009-08-28 |
| ACD876 | HO Kai Yin, Anthony | 何啟賢 | RE | Advising on Securities | 2003-04-01 | 2009-08-28 |
| ACD876 | HO Kai Yin, Anthony | 何啟賢 | RE | Advising on Futures Contracts | 2006-07-17 | 2009-08-28 |
| ACD876 | HO Kai Yin, Anthony | 何啟賢 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ACD876 | HO Kai Yin, Anthony | 何啟賢 | RE | Asset Management | 2003-04-01 | 2009-08-28 |
| ACF644 | LAU Wai Kong | 劉維剛 | RE | Dealing in Securities | 2003-04-01 | 2004-08-31 |
| ACF644 | LAU Wai Kong | 劉維剛 | RE | Advising on Securities | 2003-04-01 | 2004-08-31 |
| ACF644 | LAU Wai Kong | 劉維剛 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-08-31 |
| ACF644 | LAU Wai Kong | 劉維剛 | RE | Asset Management | 2003-04-01 | 2004-08-31 |
| ACJ199 | TAI Chung Hoe | 戴宗豪 | RE | Dealing in Securities | 2006-07-25 | 2007-05-26 |
| ACJ199 | TAI Chung Hoe | 戴宗豪 | RE | Advising on Securities | 2006-08-02 | 2007-05-26 |
| ACJ199 | TAI Chung Hoe | 戴宗豪 | RE | Asset Management | 2006-08-02 | 2007-05-26 |
| ACJ313 | MA Yat Fai, Stephen | 馬日暉 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ACJ313 | MA Yat Fai, Stephen | 馬日暉 | RE | Advising on Securities | 2003-04-01 | 2014-07-25 |
| ACJ313 | MA Yat Fai, Stephen | 馬日暉 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ACJ313 | MA Yat Fai, Stephen | 馬日暉 | RE | Asset Management | 2003-04-01 | 2014-07-25 |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RE | Advising on Securities | 2003-04-01 | 2017-01-04 |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RO | Advising on Securities | 2017-01-04 | |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RE | Advising on Futures Contracts | 2005-02-02 | 2005-12-08 |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RO | Advising on Futures Contracts | 2005-12-08 | |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RE | Asset Management | 2003-04-01 | 2017-01-04 |
| ACJ511 | NG Pek Yew | 黃碧瑤 | RO | Asset Management | 2017-01-04 | |
| ACL614 | WONG Wing Hang, Dominic | 王永鏗 | RE | Dealing in Securities | 2004-02-24 | 2008-03-13 |
| ACL614 | WONG Wing Hang, Dominic | 王永鏗 | RE | Dealing in Securities | 2009-08-10 | 2012-05-08 |
| ACL614 | WONG Wing Hang, Dominic | 王永鏗 | RO | Dealing in Securities | 2012-05-08 | |
| ACP018 | CHU Suet Yi, Shirley | 朱雪兒 | RE | Advising on Securities | 2005-06-17 | 2008-04-10 |
| ACP018 | CHU Suet Yi, Shirley | 朱雪兒 | RE | Asset Management | 2005-06-17 | 2008-04-10 |
| ACP405 | CHANPONGSANG Teera | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 | |
| ACP405 | CHANPONGSANG Teera | RE | Advising on Securities | 2003-04-01 | ||
| ACP405 | CHANPONGSANG Teera | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 | |
| ACP405 | CHANPONGSANG Teera | RE | Asset Management | 2003-04-01 | ||
| ACP452 | SAMANT Medha Aditya | RE | Dealing in Securities | 2010-12-06 | ||
| ACP452 | SAMANT Medha Aditya | RE | Asset Management | 2010-12-06 | ||
| ACS638 | LUK Kim Ping | 陸劍平 | RE | Dealing in Securities | 2010-09-01 | 2012-05-08 |
| ACS638 | LUK Kim Ping | 陸劍平 | RO | Dealing in Securities | 2012-05-08 | |
| ACS638 | LUK Kim Ping | 陸劍平 | RE | Advising on Securities | 2010-09-01 | 2012-05-08 |
| ACS638 | LUK Kim Ping | 陸劍平 | RO | Advising on Securities | 2012-05-08 | |
| ACS638 | LUK Kim Ping | 陸劍平 | RE | Asset Management | 2010-09-01 | |
| ACT407 | BILLINGS Jason Craig | RE | Advising on Securities | 2010-09-22 | 2018-06-29 | |
| ACT407 | BILLINGS Jason Craig | RE | Asset Management | 2010-09-22 | 2018-06-29 | |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Dealing in Securities | 2003-04-01 | 2005-06-15 |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Dealing in Securities | 2009-08-26 | 2010-01-12 |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Advising on Securities | 2003-04-01 | 2005-06-15 |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Advising on Securities | 2009-08-26 | 2010-01-12 |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Asset Management | 2003-04-01 | 2005-06-15 |
| ACT428 | CHENG Kam Wah, Conrad | 鄭錦華 | RE | Asset Management | 2009-08-26 | 2010-01-12 |
| ACW845 | WONG Suk Ling, Regina | 黃淑玲 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ACW845 | WONG Suk Ling, Regina | 黃淑玲 | RE | Dealing in Securities | 2005-01-24 | 2005-07-29 |
| ACW845 | WONG Suk Ling, Regina | 黃淑玲 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| ACW845 | WONG Suk Ling, Regina | 黃淑玲 | RE | Advising on Securities | 2005-01-24 | 2005-07-29 |
| ACW845 | WONG Suk Ling, Regina | 黃淑玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ACW845 | WONG Suk Ling, Regina | 黃淑玲 | RE | Asset Management | 2003-04-01 | 2005-07-29 |
| ACZ640 | LIN Wan Ni | 林宛霓 | RE | Dealing in Securities | 2003-04-01 | 2004-10-31 |
| ACZ640 | LIN Wan Ni | 林宛霓 | RE | Advising on Securities | 2003-04-01 | 2004-10-31 |
| ACZ640 | LIN Wan Ni | 林宛霓 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-31 |
| ACZ640 | LIN Wan Ni | 林宛霓 | RE | Asset Management | 2003-04-01 | 2004-10-31 |
| ACZ985 | WICKHAM SECOND Philip King | RE | Advising on Securities | 2005-12-12 | 2009-05-05 | |
| ACZ985 | WICKHAM SECOND Philip King | RE | Asset Management | 2005-12-12 | 2009-05-05 | |
| ADA219 | CHANG Kuo Wei, Kevin | 張國煒 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ADA219 | CHANG Kuo Wei, Kevin | 張國煒 | RE | Advising on Securities | 2003-04-01 | 2010-02-04 |
| ADA219 | CHANG Kuo Wei, Kevin | 張國煒 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ADA219 | CHANG Kuo Wei, Kevin | 張國煒 | RE | Asset Management | 2003-04-01 | 2010-02-04 |
| ADB362 | TANDIONO Agus | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 | |
| ADB362 | TANDIONO Agus | RE | Advising on Securities | 2003-04-01 | 2006-01-16 | |
| ADB362 | TANDIONO Agus | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 | |
| ADB362 | TANDIONO Agus | RE | Asset Management | 2003-04-01 | 2006-01-16 | |
| ADH094 | RYAN Christopher John | RE | Dealing in Securities | 2008-02-18 | 2008-02-29 | |
| ADH094 | RYAN Christopher John | RO | Dealing in Securities | 2008-02-29 | 2009-12-31 | |
| ADH094 | RYAN Christopher John | RE | Advising on Securities | 2008-02-18 | 2008-02-29 | |
| ADH094 | RYAN Christopher John | RO | Advising on Securities | 2008-02-29 | 2009-12-31 | |
| ADH094 | RYAN Christopher John | RE | Asset Management | 2008-02-18 | 2008-02-29 | |
| ADH094 | RYAN Christopher John | RO | Asset Management | 2008-02-29 | 2009-12-31 | |
| ADH354 | LO Jenn Hur, John Michael | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 | |
| ADH354 | LO Jenn Hur, John Michael | RE | Advising on Securities | 2003-04-01 | ||
| ADH354 | LO Jenn Hur, John Michael | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 | |
| ADH354 | LO Jenn Hur, John Michael | RE | Asset Management | 2003-04-01 | ||
| ADI185 | SETO Deborah Yuen Yi | 司徒婉儀 | RE | Dealing in Securities | 2010-10-08 | 2015-10-16 |
| ADI185 | SETO Deborah Yuen Yi | 司徒婉儀 | RE | Advising on Securities | 2010-10-08 | 2015-10-16 |
| ADI185 | SETO Deborah Yuen Yi | 司徒婉儀 | RE | Asset Management | 2010-10-08 | 2015-10-16 |
| ADJ397 | MAK Kai Fai | 麥啟媯 | RE | Dealing in Securities | 2006-01-16 | 2010-06-10 |
| ADJ397 | MAK Kai Fai | 麥啟媯 | RE | Advising on Securities | 2006-01-16 | 2010-06-10 |
| ADJ397 | MAK Kai Fai | 麥啟媯 | RE | Asset Management | 2006-01-16 | 2010-06-10 |
| ADM901 | LO Patrick | 盧培德 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ADM901 | LO Patrick | 盧培德 | RE | Advising on Securities | 2003-04-01 | 2006-06-02 |
| ADM901 | LO Patrick | 盧培德 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ADM901 | LO Patrick | 盧培德 | RE | Asset Management | 2003-04-01 | 2006-06-02 |
| ADN837 | TANG Wai Nam | 鄧偉南 | RE | Dealing in Securities | 2003-04-01 | 2007-04-28 |
| ADN837 | TANG Wai Nam | 鄧偉南 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| ADN837 | TANG Wai Nam | 鄧偉南 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ADN837 | TANG Wai Nam | 鄧偉南 | RE | Asset Management | 2003-04-01 | 2007-04-28 |
| ADQ811 | CHOW Siu Ping, Vivian | 周小萍 | RE | Dealing in Securities | 2003-04-01 | 2010-07-07 |
| ADQ811 | CHOW Siu Ping, Vivian | 周小萍 | RE | Advising on Securities | 2003-04-01 | 2010-07-07 |
| ADQ811 | CHOW Siu Ping, Vivian | 周小萍 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ADQ811 | CHOW Siu Ping, Vivian | 周小萍 | RE | Asset Management | 2003-04-01 | 2010-07-07 |
| ADQ869 | URQUHART David Stuart | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 | |
| ADQ869 | URQUHART David Stuart | RE | Advising on Securities | 2003-04-01 | 2014-06-22 | |
| ADQ869 | URQUHART David Stuart | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 | |
| ADQ869 | URQUHART David Stuart | RE | Asset Management | 2003-04-01 | 2014-06-22 | |
| ADR490 | GOODIN Brett Peter | RO | Dealing in Securities | 2003-04-01 | 2009-06-30 | |
| ADR490 | GOODIN Brett Peter | RO | Advising on Securities | 2003-04-01 | 2009-06-30 | |
| ADR490 | GOODIN Brett Peter | RO | Advising on Corporate Finance | 2003-04-01 | 2005-03-24 | |
| ADR490 | GOODIN Brett Peter | RO | Asset Management | 2003-04-01 | 2009-06-30 | |
| ADR661 | LEE Pui Ki, Peggy | 李珮琪 | RE | Dealing in Securities | 2005-08-25 | 2006-04-07 |
| ADR661 | LEE Pui Ki, Peggy | 李珮琪 | RE | Advising on Securities | 2005-09-01 | 2006-04-07 |
| ADR661 | LEE Pui Ki, Peggy | 李珮琪 | RE | Asset Management | 2005-09-01 | 2006-04-07 |
| ADR821 | CHAN Cathleen Karen | 陳嘉綸 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| ADR821 | CHAN Cathleen Karen | 陳嘉綸 | RE | Dealing in Securities | 2005-01-24 | 2007-10-18 |
| ADR821 | CHAN Cathleen Karen | 陳嘉綸 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| ADR821 | CHAN Cathleen Karen | 陳嘉綸 | RE | Advising on Securities | 2005-01-24 | 2007-10-18 |
| ADR821 | CHAN Cathleen Karen | 陳嘉綸 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| ADR821 | CHAN Cathleen Karen | 陳嘉綸 | RE | Asset Management | 2003-04-01 | 2007-10-18 |
| ADT328 | FOK Mei Ling | 霍美玲 | RE | Dealing in Securities | 2003-04-01 | 2007-03-17 |
| ADT328 | FOK Mei Ling | 霍美玲 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| ADT328 | FOK Mei Ling | 霍美玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ADT328 | FOK Mei Ling | 霍美玲 | RE | Asset Management | 2003-04-01 | 2007-03-17 |
| ADT381 | YU Tze Ling | 余子玲 | RE | Advising on Securities | 2003-04-01 | 2003-12-19 |
| ADT381 | YU Tze Ling | 余子玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-12-19 |
| ADT381 | YU Tze Ling | 余子玲 | RE | Asset Management | 2003-04-01 | 2003-12-19 |
| ADT504 | TAI Yuk Yi, Amy | 戴玉儀 | RE | Dealing in Securities | 2003-04-01 | 2012-05-17 |
| ADT504 | TAI Yuk Yi, Amy | 戴玉儀 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| ADT504 | TAI Yuk Yi, Amy | 戴玉儀 | RE | Advising on Securities | 2005-01-24 | 2012-05-17 |
| ADT504 | TAI Yuk Yi, Amy | 戴玉儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ADT504 | TAI Yuk Yi, Amy | 戴玉儀 | RE | Asset Management | 2003-04-01 | 2012-05-17 |
| ADU037 | BRENER Sheba | RE | Advising on Securities | 2003-04-01 | 2003-07-10 | |
| ADU037 | BRENER Sheba | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-10 | |
| ADU037 | BRENER Sheba | RE | Asset Management | 2003-04-01 | 2003-07-10 | |
| ADW191 | CHONG Selina | 鄭潘行端 | RE | Dealing in Securities | 2003-04-01 | 2007-11-30 |
| ADW191 | CHONG Selina | 鄭潘行端 | RE | Advising on Securities | 2003-04-01 | 2007-11-30 |
| ADW191 | CHONG Selina | 鄭潘行端 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| ADW191 | CHONG Selina | 鄭潘行端 | RE | Asset Management | 2003-04-01 | 2007-11-30 |
| ADW192 | LEE Nga Yee, Sara | 李雅儀 | RE | Advising on Securities | 2003-04-01 | 2003-04-11 |
| ADW192 | LEE Nga Yee, Sara | 李雅儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-11 |
| ADW192 | LEE Nga Yee, Sara | 李雅儀 | RE | Asset Management | 2003-04-01 | 2003-04-11 |
| ADW214 | CHUA Mei Tak, Michelle | 蔡美德 | RE | Dealing in Securities | 2004-08-27 | 2007-11-30 |
| ADW214 | CHUA Mei Tak, Michelle | 蔡美德 | RE | Advising on Securities | 2005-01-24 | 2007-11-30 |
| ADW214 | CHUA Mei Tak, Michelle | 蔡美德 | RE | Asset Management | 2004-08-27 | 2007-11-30 |
| ADX528 | WONG Ngan, Jacqueline | 黃雁 | RE | Dealing in Securities | 2003-04-01 | 2004-02-16 |
| ADX528 | WONG Ngan, Jacqueline | 黃雁 | RE | Advising on Securities | 2003-04-01 | 2004-02-16 |
| ADX528 | WONG Ngan, Jacqueline | 黃雁 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-02-16 |
| ADX528 | WONG Ngan, Jacqueline | 黃雁 | RE | Asset Management | 2003-04-01 | 2004-02-16 |
| ADY889 | CHUNG Wai Fan, Winnifred | 鍾維芬 | RE | Dealing in Securities | 2007-10-08 | 2008-11-18 |
| ADY889 | CHUNG Wai Fan, Winnifred | 鍾維芬 | RE | Advising on Securities | 2007-10-08 | 2008-11-18 |
| ADY889 | CHUNG Wai Fan, Winnifred | 鍾維芬 | RE | Asset Management | 2007-11-19 | 2008-11-18 |
| ADZ045 | CHAN Kwok Kei | 陳國基 | RE | Dealing in Securities | 2003-04-01 | 2004-07-30 |
| ADZ045 | CHAN Kwok Kei | 陳國基 | RE | Advising on Securities | 2003-04-01 | 2004-07-30 |
| ADZ045 | CHAN Kwok Kei | 陳國基 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-07-30 |
| ADZ045 | CHAN Kwok Kei | 陳國基 | RE | Asset Management | 2003-04-01 | 2004-07-30 |
| AEB941 | WONG Leung Man | 黃良文 | RE | Advising on Securities | 2004-10-04 | 2010-02-04 |
| AEB941 | WONG Leung Man | 黃良文 | RE | Asset Management | 2004-10-04 | 2010-02-04 |
| AEB972 | TSE Chi Ho | 謝志豪 | RE | Dealing in Securities | 2003-04-01 | 2004-11-28 |
| AEB972 | TSE Chi Ho | 謝志豪 | RE | Advising on Securities | 2003-04-01 | 2004-11-28 |
| AEB972 | TSE Chi Ho | 謝志豪 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AEB972 | TSE Chi Ho | 謝志豪 | RE | Asset Management | 2003-04-01 | 2004-11-28 |
| AED493 | TAM Yuen Ling, Eunice | 譚婉玲 | RE | Dealing in Securities | 2004-08-02 | 2010-06-19 |
| AED493 | TAM Yuen Ling, Eunice | 譚婉玲 | RE | Advising on Securities | 2004-08-02 | 2010-06-19 |
| AED493 | TAM Yuen Ling, Eunice | 譚婉玲 | RE | Asset Management | 2004-10-15 | 2010-06-19 |
| AEG451 | LAM Yuen Ngar, Ginie | 林宛雅 | RE | Dealing in Securities | 2010-03-10 | 2012-02-29 |
| AEG451 | LAM Yuen Ngar, Ginie | 林宛雅 | RE | Asset Management | 2010-03-24 | 2012-02-29 |
| AEG454 | WONG Suet Ting | 黃雪婷 | RE | Dealing in Securities | 2007-07-12 | 2011-07-09 |
| AEG454 | WONG Suet Ting | 黃雪婷 | RE | Advising on Securities | 2007-07-12 | 2011-07-09 |
| AEG454 | WONG Suet Ting | 黃雪婷 | RE | Asset Management | 2007-07-12 | 2011-07-09 |
| AEG683 | MEHRA Arun | RE | Dealing in Securities | 2006-06-13 | 2009-03-20 | |
| AEI013 | TANG Ka Wai, Toby | 鄧家偉 | RE | Advising on Securities | 2003-04-01 | 2003-04-10 |
| AEI013 | TANG Ka Wai, Toby | 鄧家偉 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-10 |
| AEI013 | TANG Ka Wai, Toby | 鄧家偉 | RE | Asset Management | 2003-04-01 | 2003-04-10 |
| AEI215 | FANG Hsin Chieh, Christopher | 方欣傑 | RE | Advising on Securities | 2004-10-06 | 2011-02-03 |
| AEI215 | FANG Hsin Chieh, Christopher | 方欣傑 | RE | Asset Management | 2004-10-06 | 2011-02-03 |
| AEK875 | HONDA Nobuyuki | 本田伸行 | RE | Dealing in Securities | 2007-07-30 | |
| AEK875 | HONDA Nobuyuki | 本田伸行 | RE | Asset Management | 2007-07-23 | |
| AEO040 | NAISMITH Douglas James | RE | Dealing in Securities | 2007-06-01 | 2007-06-08 | |
| AEO040 | NAISMITH Douglas James | RO | Dealing in Securities | 2003-04-01 | 2005-07-31 | |
| AEO040 | NAISMITH Douglas James | RO | Advising on Securities | 2003-04-01 | 2005-07-31 | |
| AEO040 | NAISMITH Douglas James | RO | Asset Management | 2003-04-01 | 2005-07-31 | |
| AEO690 | LEE Jee Won | RE | Advising on Securities | 2003-04-01 | 2003-05-27 | |
| AEO690 | LEE Jee Won | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-27 | |
| AEO690 | LEE Jee Won | RE | Asset Management | 2003-04-01 | 2003-05-27 | |
| AEP793 | OOI Syn Yee | 黃心怡 | RE | Dealing in Securities | 2014-11-03 | 2016-11-14 |
| AEP793 | OOI Syn Yee | 黃心怡 | RO | Dealing in Securities | 2016-11-14 | |
| AEP793 | OOI Syn Yee | 黃心怡 | RE | Advising on Securities | 2016-08-03 | |
| AEP931 | CHAN Kwok On, Carlson | 陳國安 | RE | Dealing in Securities | 2013-04-19 | 2015-08-07 |
| AEP931 | CHAN Kwok On, Carlson | 陳國安 | RE | Advising on Securities | 2013-04-19 | 2015-08-07 |
| AER055 | TONG Wing Yi, Tina | 湯詠儀 | RE | Dealing in Securities | 2008-04-23 | 2009-02-23 |
| AER055 | TONG Wing Yi, Tina | 湯詠儀 | RE | Advising on Securities | 2008-03-05 | 2009-02-23 |
| AER055 | TONG Wing Yi, Tina | 湯詠儀 | RE | Asset Management | 2008-04-23 | 2009-02-23 |
| AES372 | HO Wai Fun | 何慧芬 | RE | Dealing in Securities | 2005-07-25 | 2017-08-07 |
| AES372 | HO Wai Fun | 何慧芬 | RO | Dealing in Securities | 2017-08-07 | |
| AES372 | HO Wai Fun | 何慧芬 | RE | Advising on Securities | 2005-07-25 | 2017-08-07 |
| AES372 | HO Wai Fun | 何慧芬 | RO | Advising on Securities | 2017-08-07 | |
| AES372 | HO Wai Fun | 何慧芬 | RE | Asset Management | 2005-07-25 | 2018-04-27 |
| AEU127 | KWAN Siu Hung, Fanny | 關小紅 | RE | Dealing in Securities | 2003-04-01 | 2007-08-07 |
| AEU127 | KWAN Siu Hung, Fanny | 關小紅 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AEU127 | KWAN Siu Hung, Fanny | 關小紅 | RE | Advising on Securities | 2005-01-24 | 2007-08-07 |
| AEU127 | KWAN Siu Hung, Fanny | 關小紅 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AEU127 | KWAN Siu Hung, Fanny | 關小紅 | RE | Asset Management | 2003-04-01 | 2007-08-07 |
| AEU128 | LAM Chun Yee, Serina | 林珍儀 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| AEU128 | LAM Chun Yee, Serina | 林珍儀 | RE | Dealing in Securities | 2005-01-24 | 2006-04-13 |
| AEU128 | LAM Chun Yee, Serina | 林珍儀 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| AEU128 | LAM Chun Yee, Serina | 林珍儀 | RE | Advising on Securities | 2005-01-24 | 2006-04-13 |
| AEU128 | LAM Chun Yee, Serina | 林珍儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| AEU128 | LAM Chun Yee, Serina | 林珍儀 | RE | Asset Management | 2003-04-01 | 2006-04-13 |
| AEW807 | LEE Sang Hoon | 李相訓 | RE | Advising on Securities | 2003-06-18 | 2005-01-17 |
| AEW807 | LEE Sang Hoon | 李相訓 | RE | Asset Management | 2003-06-18 | 2005-01-17 |
| AEX961 | HUI Wan Yee | 許韻兒 | RE | Dealing in Securities | 2003-04-01 | 2007-07-06 |
| AEX961 | HUI Wan Yee | 許韻兒 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AEX961 | HUI Wan Yee | 許韻兒 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AEX961 | HUI Wan Yee | 許韻兒 | RE | Asset Management | 2003-04-01 | 2004-10-20 |
| AEZ566 | MACTAGGART Kirsty | RE | Dealing in Securities | 2005-09-21 | 2018-01-05 | |
| AEZ566 | MACTAGGART Kirsty | RE | Asset Management | 2005-09-28 | 2018-01-05 | |
| AEZ995 | YU Chi Wai | 余志威 | RE | Dealing in Securities | 2014-06-04 | |
| AEZ995 | YU Chi Wai | 余志威 | RE | Advising on Securities | 2014-06-04 | |
| AFC353 | NG Wing Sze | 伍詠思 | RE | Dealing in Securities | 2011-02-01 | 2011-04-14 |
| AFC353 | NG Wing Sze | 伍詠思 | RE | Asset Management | 2011-02-01 | 2011-04-14 |
| AFD099 | SZE Ming For | 施銘火 | RE | Dealing in Securities | 2003-04-01 | 2005-05-06 |
| AFD099 | SZE Ming For | 施銘火 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AFD099 | SZE Ming For | 施銘火 | RE | Advising on Securities | 2005-01-24 | 2005-05-06 |
| AFD099 | SZE Ming For | 施銘火 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFD099 | SZE Ming For | 施銘火 | RE | Asset Management | 2003-04-01 | 2005-05-06 |
| AFD120 | WONG Chor Chu, Cindy | 王楚珠 | RE | Dealing in Securities | 2003-04-01 | 2004-11-07 |
| AFD120 | WONG Chor Chu, Cindy | 王楚珠 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AFD120 | WONG Chor Chu, Cindy | 王楚珠 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFD120 | WONG Chor Chu, Cindy | 王楚珠 | RE | Asset Management | 2003-04-01 | 2004-10-20 |
| AFD506 | HO Wai Yee, Winnie | 何慧兒 | RE | Dealing in Securities | 2003-04-01 | 2006-07-23 |
| AFD506 | HO Wai Yee, Winnie | 何慧兒 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AFD506 | HO Wai Yee, Winnie | 何慧兒 | RE | Advising on Securities | 2005-01-24 | 2006-07-23 |
| AFD506 | HO Wai Yee, Winnie | 何慧兒 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFD506 | HO Wai Yee, Winnie | 何慧兒 | RE | Asset Management | 2003-04-01 | 2006-07-23 |
| AFD507 | KE Wing Shuen | 柯泳璇 | RE | Dealing in Securities | 2003-04-01 | 2008-07-04 |
| AFD507 | KE Wing Shuen | 柯泳璇 | RE | Advising on Securities | 2003-04-01 | 2008-07-04 |
| AFD507 | KE Wing Shuen | 柯泳璇 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFD507 | KE Wing Shuen | 柯泳璇 | RE | Asset Management | 2003-04-01 | 2008-07-04 |
| AFF128 | CHING Kerry Kim Wai | 程劍慧 | RE | Dealing in Securities | 2008-12-16 | 2009-02-09 |
| AFF128 | CHING Kerry Kim Wai | 程劍慧 | RO | Dealing in Securities | 2009-02-09 | 2012-06-15 |
| AFF128 | CHING Kerry Kim Wai | 程劍慧 | RE | Advising on Securities | 2008-12-16 | 2009-02-09 |
| AFF128 | CHING Kerry Kim Wai | 程劍慧 | RO | Advising on Securities | 2009-02-09 | 2012-06-15 |
| AFF128 | CHING Kerry Kim Wai | 程劍慧 | RE | Asset Management | 2008-12-16 | 2009-02-09 |
| AFF128 | CHING Kerry Kim Wai | 程劍慧 | RO | Asset Management | 2009-02-09 | 2012-06-15 |
| AFF229 | WONG Tsz Ping, Barbara | 黃紫萍 | RE | Dealing in Securities | 2003-04-01 | 2006-04-11 |
| AFF229 | WONG Tsz Ping, Barbara | 黃紫萍 | RE | Dealing in Securities | 2013-10-16 | 2015-05-11 |
| AFF229 | WONG Tsz Ping, Barbara | 黃紫萍 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AFF229 | WONG Tsz Ping, Barbara | 黃紫萍 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFF229 | WONG Tsz Ping, Barbara | 黃紫萍 | RE | Asset Management | 2003-04-01 | 2006-04-11 |
| AFF231 | TSE Pui Kwan | 謝佩坤 | RE | Dealing in Securities | 2003-04-01 | 2005-05-20 |
| AFF231 | TSE Pui Kwan | 謝佩坤 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AFF231 | TSE Pui Kwan | 謝佩坤 | RE | Advising on Securities | 2005-01-24 | 2005-05-20 |
| AFF231 | TSE Pui Kwan | 謝佩坤 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFF231 | TSE Pui Kwan | 謝佩坤 | RE | Asset Management | 2003-04-01 | 2005-05-20 |
| AFH179 | CHAN Hong Miu, Kevin | 陳康邈 | RE | Dealing in Securities | 2003-04-01 | 2004-12-22 |
| AFH179 | CHAN Hong Miu, Kevin | 陳康邈 | RE | Advising on Securities | 2003-04-01 | 2004-12-22 |
| AFH179 | CHAN Hong Miu, Kevin | 陳康邈 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFH179 | CHAN Hong Miu, Kevin | 陳康邈 | RE | Asset Management | 2003-04-01 | 2004-12-22 |
| AFI656 | MA Tak Sze, Doris | 馬德詩 | RE | Dealing in Securities | 2003-04-01 | 2005-06-30 |
| AFI656 | MA Tak Sze, Doris | 馬德詩 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AFI656 | MA Tak Sze, Doris | 馬德詩 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFI656 | MA Tak Sze, Doris | 馬德詩 | RE | Asset Management | 2003-04-01 | 2005-06-30 |
| AFJ215 | PANG Wai Yan, Winnie | 彭慧欣 | RE | Dealing in Securities | 2003-04-01 | 2004-05-24 |
| AFJ215 | PANG Wai Yan, Winnie | 彭慧欣 | RE | Advising on Securities | 2003-04-01 | 2004-05-24 |
| AFJ215 | PANG Wai Yan, Winnie | 彭慧欣 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-24 |
| AFJ215 | PANG Wai Yan, Winnie | 彭慧欣 | RE | Asset Management | 2003-04-01 | 2004-05-24 |
| AFJ218 | WU Eliza Ki Lai | 胡其麗 | RE | Dealing in Securities | 2006-01-16 | 2007-12-19 |
| AFJ218 | WU Eliza Ki Lai | 胡其麗 | RE | Advising on Securities | 2006-01-16 | 2007-12-19 |
| AFJ218 | WU Eliza Ki Lai | 胡其麗 | RE | Asset Management | 2006-01-16 | 2007-12-19 |
| AFJ600 | WONG Mei Fong | 黃美芳 | RE | Dealing in Securities | 2003-04-01 | 2006-04-07 |
| AFJ600 | WONG Mei Fong | 黃美芳 | RE | Advising on Securities | 2003-04-01 | 2006-04-07 |
| AFJ600 | WONG Mei Fong | 黃美芳 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFJ600 | WONG Mei Fong | 黃美芳 | RE | Asset Management | 2003-04-01 | 2006-04-07 |
| AFM187 | LEE Lillian Lai Man | 李麗雯 | RE | Dealing in Securities | 2005-11-01 | 2007-06-02 |
| AFM187 | LEE Lillian Lai Man | 李麗雯 | RE | Advising on Securities | 2005-11-01 | 2007-06-02 |
| AFM187 | LEE Lillian Lai Man | 李麗雯 | RE | Asset Management | 2005-11-01 | 2007-06-02 |
| AFM575 | GIUBIN Marco | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 | |
| AFM575 | GIUBIN Marco | RE | Advising on Securities | 2003-04-01 | 2006-03-24 | |
| AFM575 | GIUBIN Marco | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 | |
| AFM575 | GIUBIN Marco | RE | Asset Management | 2003-04-01 | 2006-03-24 | |
| AFN278 | LAM Wing Yee, Veronica Ronnie | 林穎兒 | RE | Dealing in Securities | 2004-07-23 | 2006-07-31 |
| AFN278 | LAM Wing Yee, Veronica Ronnie | 林穎兒 | RE | Advising on Securities | 2004-07-23 | 2006-07-31 |
| AFN278 | LAM Wing Yee, Veronica Ronnie | 林穎兒 | RE | Asset Management | 2004-07-23 | 2006-07-31 |
| AFN505 | CHAN Kenneth Tin Yan | 陳天欣 | RE | Dealing in Securities | 2008-01-03 | 2010-04-16 |
| AFO588 | TANG On Key, Angela | 鄧安琪 | RE | Dealing in Securities | 2007-04-11 | 2007-05-15 |
| AFO588 | TANG On Key, Angela | 鄧安琪 | RE | Advising on Securities | 2007-05-09 | 2007-05-15 |
| AFO588 | TANG On Key, Angela | 鄧安琪 | RE | Asset Management | 2007-05-09 | 2007-05-15 |
| AFO916 | LAU Fung Sin, Tracy | 劉鳳仙 | RE | Dealing in Securities | 2003-04-01 | 2005-06-02 |
| AFO916 | LAU Fung Sin, Tracy | 劉鳳仙 | RE | Advising on Securities | 2003-04-01 | 2005-06-02 |
| AFO916 | LAU Fung Sin, Tracy | 劉鳳仙 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFO916 | LAU Fung Sin, Tracy | 劉鳳仙 | RE | Asset Management | 2003-04-01 | 2005-06-02 |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RE | Dealing in Securities | 2005-08-19 | 2014-07-18 |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RE | Advising on Securities | 2005-08-19 | 2014-07-18 |
| AFP820 | CHAN Stephen Sze Yung | 陳詩揚 | RE | Asset Management | 2005-08-19 | 2014-07-18 |
| AFR009 | TAM Sau Man, Melissa | 譚秀雯 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| AFR009 | TAM Sau Man, Melissa | 譚秀雯 | RE | Dealing in Securities | 2005-01-24 | |
| AFR009 | TAM Sau Man, Melissa | 譚秀雯 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| AFR009 | TAM Sau Man, Melissa | 譚秀雯 | RE | Advising on Securities | 2005-01-24 | |
| AFR009 | TAM Sau Man, Melissa | 譚秀雯 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| AFR009 | TAM Sau Man, Melissa | 譚秀雯 | RE | Asset Management | 2003-04-01 | |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Dealing in Securities | 2005-01-24 | 2015-11-24 |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Dealing in Securities | 2017-09-22 | |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Advising on Securities | 2005-01-24 | 2015-11-24 |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| AFR011 | FUNG Mei Han | 馮美嫻 | RE | Asset Management | 2003-04-01 | 2015-11-24 |
| AFR181 | TSANG Ka Man | 曾嘉敏 | RE | Dealing in Securities | 2003-04-01 | 2004-05-24 |
| AFR181 | TSANG Ka Man | 曾嘉敏 | RE | Advising on Securities | 2003-04-01 | 2004-05-24 |
| AFR181 | TSANG Ka Man | 曾嘉敏 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-24 |
| AFR181 | TSANG Ka Man | 曾嘉敏 | RE | Asset Management | 2003-04-01 | 2004-05-24 |
| AFR857 | LEE Chi Yan, Joanna | 李志欣 | RE | Dealing in Securities | 2010-07-15 | |
| AFR857 | LEE Chi Yan, Joanna | 李志欣 | RE | Advising on Securities | 2010-07-15 | |
| AFR857 | LEE Chi Yan, Joanna | 李志欣 | RE | Asset Management | 2010-07-15 | |
| AFS763 | WANG Wenying | 王文瑩 | RE | Advising on Securities | 2005-07-11 | 2013-10-31 |
| AFS763 | WANG Wenying | 王文瑩 | RE | Asset Management | 2005-07-11 | 2013-10-31 |
| AFS826 | JANG Yu Fong, Jacqueline | 張汝芳 | RE | Dealing in Securities | 2007-11-19 | 2017-06-02 |
| AFS826 | JANG Yu Fong, Jacqueline | 張汝芳 | RE | Advising on Securities | 2007-10-10 | 2017-06-02 |
| AFS826 | JANG Yu Fong, Jacqueline | 張汝芳 | RE | Asset Management | 2007-11-19 | 2017-06-02 |
| AFS906 | YAU Wai Sum | 丘慧心 | RE | Dealing in Securities | 2005-10-14 | |
| AFS906 | YAU Wai Sum | 丘慧心 | RE | Advising on Securities | 2005-10-14 | |
| AFS906 | YAU Wai Sum | 丘慧心 | RE | Asset Management | 2005-10-14 | |
| AFT002 | CHAN Wai Yin, Jammy | 陳偉賢 | RE | Dealing in Securities | 2008-02-06 | 2008-06-26 |
| AFT002 | CHAN Wai Yin, Jammy | 陳偉賢 | RE | Advising on Securities | 2008-02-06 | 2008-06-26 |
| AFT002 | CHAN Wai Yin, Jammy | 陳偉賢 | RE | Asset Management | 2008-02-06 | 2008-06-26 |
| AFT559 | LAW Ka Ying, Catherine | 羅家瑩 | RE | Asset Management | 2005-10-17 | 2007-04-26 |
| AFT957 | LIN Kit Yee, Kitty | 練潔儀 | RE | Dealing in Securities | 2003-04-01 | 2005-04-07 |
| AFT957 | LIN Kit Yee, Kitty | 練潔儀 | RE | Advising on Securities | 2003-04-01 | 2005-04-07 |
| AFT957 | LIN Kit Yee, Kitty | 練潔儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFT957 | LIN Kit Yee, Kitty | 練潔儀 | RE | Asset Management | 2003-04-01 | 2005-04-07 |
| AFU293 | TAN Chee Yin | 陳琦盈 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| AFU293 | TAN Chee Yin | 陳琦盈 | RE | Advising on Securities | 2003-04-01 | 2009-12-31 |
| AFU293 | TAN Chee Yin | 陳琦盈 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| AFU293 | TAN Chee Yin | 陳琦盈 | RE | Asset Management | 2003-04-01 | 2009-12-31 |
| AFU957 | WONG Wing Kei, Debra | 王穎琪 | RE | Dealing in Securities | 2003-04-01 | 2006-04-03 |
| AFU957 | WONG Wing Kei, Debra | 王穎琪 | RE | Advising on Securities | 2003-04-01 | 2006-04-03 |
| AFU957 | WONG Wing Kei, Debra | 王穎琪 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AFU957 | WONG Wing Kei, Debra | 王穎琪 | RE | Asset Management | 2003-04-01 | 2006-04-03 |
| AFV222 | CHAN Chi Yin | 陳鋕賢 | RE | Advising on Securities | 2006-05-16 | 2006-09-06 |
| AFV222 | CHAN Chi Yin | 陳鋕賢 | RE | Asset Management | 2006-05-16 | 2006-09-06 |
| AFV304 | NG Sheung Ying | 吳嫦英 | RE | Dealing in Securities | 2011-08-11 | |
| AFV304 | NG Sheung Ying | 吳嫦英 | RE | Advising on Securities | 2011-08-11 | |
| AFV304 | NG Sheung Ying | 吳嫦英 | RE | Asset Management | 2011-08-11 | |
| AFV353 | FANG Chih-Shang | 方至善 | RE | Advising on Securities | 2003-04-01 | 2003-05-07 |
| AFV353 | FANG Chih-Shang | 方至善 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-07 |
| AFV353 | FANG Chih-Shang | 方至善 | RE | Asset Management | 2003-04-01 | 2003-05-07 |
| AFW023 | LEUNG Wai Cheong | 梁偉昌 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| AFW023 | LEUNG Wai Cheong | 梁偉昌 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| AFW023 | LEUNG Wai Cheong | 梁偉昌 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| AFW023 | LEUNG Wai Cheong | 梁偉昌 | RE | Asset Management | 2003-04-01 | |
| AFW717 | LAU Pui Sze, Priscilla | 劉沛思 | RE | Dealing in Securities | 2010-10-06 | |
| AFW717 | LAU Pui Sze, Priscilla | 劉沛思 | RE | Asset Management | 2010-10-06 | |
| AFY162 | HO Kelly Ngar Ying | 何雅盈 | RE | Dealing in Securities | 2011-03-15 | 2012-02-24 |
| AFY162 | HO Kelly Ngar Ying | 何雅盈 | RE | Advising on Securities | 2011-03-15 | 2012-02-24 |
| AFY162 | HO Kelly Ngar Ying | 何雅盈 | RE | Asset Management | 2011-03-15 | 2012-02-24 |
| AFY194 | LEUNG Pui Yan | 梁佩欣 | RE | Dealing in Securities | 2007-11-23 | 2007-11-30 |
| AFY400 | SINGH Rajesh Kumar | RE | Advising on Securities | 2005-07-06 | 2009-07-31 | |
| AFY400 | SINGH Rajesh Kumar | RE | Asset Management | 2005-07-06 | 2009-07-31 | |
| AGA340 | FONG Michael Lung | 方碩穩 | RE | Dealing in Securities | 2007-11-21 | 2008-07-07 |
| AGA340 | FONG Michael Lung | 方碩穩 | RO | Dealing in Securities | 2008-07-07 | 2016-09-30 |
| AGA340 | FONG Michael Lung | 方碩穩 | RE | Advising on Securities | 2007-11-21 | 2008-07-07 |
| AGA340 | FONG Michael Lung | 方碩穩 | RO | Advising on Securities | 2008-07-07 | 2016-09-30 |
| AGA340 | FONG Michael Lung | 方碩穩 | RE | Asset Management | 2007-11-21 | 2016-09-30 |
| AGB455 | HO Nim Yan, Vida | 何念恩 | RE | Dealing in Securities | 2007-10-15 | 2014-09-03 |
| AGB455 | HO Nim Yan, Vida | 何念恩 | RE | Advising on Securities | 2007-10-15 | 2014-09-03 |
| AGB455 | HO Nim Yan, Vida | 何念恩 | RE | Asset Management | 2007-10-15 | 2014-09-03 |
| AGC300 | MAK Bing Sum | 麥冰心 | RE | Dealing in Securities | 2006-04-20 | 2008-11-19 |
| AGC300 | MAK Bing Sum | 麥冰心 | RE | Advising on Securities | 2006-04-20 | 2008-11-19 |
| AGC300 | MAK Bing Sum | 麥冰心 | RE | Asset Management | 2006-04-20 | 2008-11-19 |
| AGC448 | KOTHARI Sandeep | RE | Advising on Securities | 2004-04-27 | 2009-11-02 | |
| AGC448 | KOTHARI Sandeep | RE | Asset Management | 2004-04-27 | 2009-11-02 | |
| AGC758 | CHEN Yuan-Chen | 陳遠成 | RE | Dealing in Securities | 2004-03-31 | 2005-01-15 |
| AGC758 | CHEN Yuan-Chen | 陳遠成 | RE | Advising on Securities | 2004-11-26 | 2005-01-15 |
| AGC758 | CHEN Yuan-Chen | 陳遠成 | RE | Asset Management | 2004-11-26 | 2005-01-15 |
| AGF183 | ON Chi Ki | 安子琪 | RE | Dealing in Securities | 2008-04-16 | 2010-10-09 |
| AGH196 | LAU Kwan Chuk, Karen | 劉堃竹 | RE | Dealing in Securities | 2007-09-11 | |
| AGH196 | LAU Kwan Chuk, Karen | 劉堃竹 | RE | Advising on Securities | 2007-09-11 | |
| AGH196 | LAU Kwan Chuk, Karen | 劉堃竹 | RE | Asset Management | 2007-09-11 | |
| AGH262 | TING Mei Ki, Heywood | 丁美琦 | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 |
| AGH262 | TING Mei Ki, Heywood | 丁美琦 | RE | Advising on Securities | 2003-04-01 | 2004-10-19 |
| AGH262 | TING Mei Ki, Heywood | 丁美琦 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 |
| AGH262 | TING Mei Ki, Heywood | 丁美琦 | RE | Asset Management | 2003-04-01 | 2006-09-02 |
| AGH862 | TWU Wei-Chun | 涂維純 | RE | Advising on Securities | 2006-06-07 | 2011-02-17 |
| AGH862 | TWU Wei-Chun | 涂維純 | RE | Asset Management | 2006-06-07 | 2011-02-17 |
| AGH925 | CHAN Yue Yan | 陳宇昕 | RE | Dealing in Securities | 2010-10-18 | 2016-04-19 |
| AGH925 | CHAN Yue Yan | 陳宇昕 | RE | Dealing in Securities | 2017-11-20 | |
| AGH925 | CHAN Yue Yan | 陳宇昕 | RE | Advising on Securities | 2010-10-18 | 2016-04-19 |
| AGH925 | CHAN Yue Yan | 陳宇昕 | RE | Asset Management | 2010-10-18 | 2016-04-19 |
| AGI702 | CHOI Tak Yee, Jackie | 蔡德怡 | RE | Dealing in Securities | 2003-04-01 | 2005-06-29 |
| AGI702 | CHOI Tak Yee, Jackie | 蔡德怡 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AGI702 | CHOI Tak Yee, Jackie | 蔡德怡 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AGI702 | CHOI Tak Yee, Jackie | 蔡德怡 | RE | Asset Management | 2003-04-01 | 2005-06-29 |
| AGJ508 | LEUNG Alan | 梁起麟 | RE | Dealing in Securities | 2004-08-30 | 2016-09-01 |
| AGJ508 | LEUNG Alan | 梁起麟 | RE | Asset Management | 2004-08-30 | 2016-09-01 |
| AGK042 | FONG Ka Leung | 方嘉亮 | RE | Advising on Securities | 2003-04-01 | 2003-11-07 |
| AGK042 | FONG Ka Leung | 方嘉亮 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-07 |
| AGK042 | FONG Ka Leung | 方嘉亮 | RE | Asset Management | 2003-04-01 | 2003-11-07 |
| AGL457 | TANG Wing Yee | 鄧穎兒 | RE | Asset Management | 2004-09-07 | 2005-01-25 |
| AGL966 | KWOK Shiu May, Inez | 郭兆湄 | RE | Dealing in Securities | 2004-03-05 | 2004-07-01 |
| AGM046 | PRAKASH Sabita | RE | Advising on Securities | 2004-06-16 | 2014-01-31 | |
| AGM046 | PRAKASH Sabita | RE | Asset Management | 2004-06-16 | 2014-01-31 | |
| AGM532 | MA Lei | 馬磊 | RE | Advising on Securities | 2006-09-18 | |
| AGM532 | MA Lei | 馬磊 | RE | Asset Management | 2006-09-18 | |
| AGM788 | LEUNG Priscilla Wei Kwan | 梁慧君 | RE | Dealing in Securities | 2007-07-19 | |
| AGO294 | IKEDA Hiromasa | RE | Advising on Securities | 2010-04-01 | 2016-02-19 | |
| AGO294 | IKEDA Hiromasa | RE | Asset Management | 2010-04-01 | 2016-02-19 | |
| AGO996 | KWONG Shuk Ngan | 鄺淑顏 | RE | Dealing in Securities | 2015-07-23 | 2019-01-16 |
| AGO996 | KWONG Shuk Ngan | 鄺淑顏 | RE | Advising on Securities | 2015-07-23 | 2019-01-16 |
| AGP156 | TSANG Yin Kan | 曾燕勤 | RE | Dealing in Securities | 2008-06-19 | 2008-11-19 |
| AGP305 | WAKEMAN Jamie Andrew | RE | Advising on Securities | 2003-04-01 | 2003-05-02 | |
| AGP305 | WAKEMAN Jamie Andrew | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-02 | |
| AGP305 | WAKEMAN Jamie Andrew | RE | Asset Management | 2003-04-01 | 2003-05-02 | |
| AGP561 | ZHAN Long | 戰龍 | RE | Dealing in Securities | 2008-07-14 | 2010-11-05 |
| AGP561 | ZHAN Long | 戰龍 | RE | Advising on Securities | 2008-07-14 | 2010-11-05 |
| AGP561 | ZHAN Long | 戰龍 | RE | Asset Management | 2008-07-14 | 2010-11-05 |
| AGP718 | WONG Kan Man | 黃健民 | RE | Dealing in Securities | 2003-04-01 | 2012-12-07 |
| AGP718 | WONG Kan Man | 黃健民 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AGP718 | WONG Kan Man | 黃健民 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AGP718 | WONG Kan Man | 黃健民 | RE | Asset Management | 2003-04-01 | 2012-12-07 |
| AGP751 | SIU Sau Man | 蕭秀雯 | RE | Dealing in Securities | 2004-10-18 | 2006-01-16 |
| AGP751 | SIU Sau Man | 蕭秀雯 | RE | Asset Management | 2004-10-18 | 2006-01-16 |
| AGW561 | SIU Pui Kay, Ruby | 蕭珮琪 | RE | Dealing in Securities | 2004-10-15 | 2005-12-16 |
| AGW561 | SIU Pui Kay, Ruby | 蕭珮琪 | RE | Asset Management | 2004-06-07 | 2005-12-16 |
| AGZ498 | SUTHERLAND Matthew Sebastian | RE | Dealing in Securities | 2012-11-23 | 2016-12-21 | |
| AGZ498 | SUTHERLAND Matthew Sebastian | RE | Advising on Securities | 2006-01-26 | 2016-12-21 | |
| AGZ498 | SUTHERLAND Matthew Sebastian | RE | Asset Management | 2006-01-26 | 2016-12-21 | |
| AHA562 | SO Po Yee, Rosella | 蘇寶兒 | RE | Dealing in Securities | 2011-04-27 | 2015-05-15 |
| AHA562 | SO Po Yee, Rosella | 蘇寶兒 | RE | Advising on Securities | 2011-04-27 | 2015-05-15 |
| AHA562 | SO Po Yee, Rosella | 蘇寶兒 | RE | Asset Management | 2011-04-27 | 2015-05-15 |
| AHC740 | NG Lung George | 吳龍 | RE | Dealing in Securities | 2013-08-19 | 2015-12-24 |
| AHC740 | NG Lung George | 吳龍 | RE | Advising on Securities | 2013-08-19 | 2015-12-24 |
| AHD635 | LAM Chi Hin, Stanley | 林子軒 | RE | Dealing in Securities | 2010-03-22 | 2014-06-24 |
| AHD635 | LAM Chi Hin, Stanley | 林子軒 | RE | Advising on Securities | 2010-03-22 | 2014-06-24 |
| AHD635 | LAM Chi Hin, Stanley | 林子軒 | RE | Asset Management | 2010-03-22 | 2014-06-24 |
| AHG570 | CHIEN Jackie Wei Jia | RE | Dealing in Securities | 2018-06-22 | ||
| AHK230 | WELLS Andrew David | RE | Dealing in Securities | 2003-04-01 | 2004-10-04 | |
| AHK230 | WELLS Andrew David | RE | Advising on Securities | 2003-04-01 | 2005-10-20 | |
| AHK230 | WELLS Andrew David | RO | Advising on Securities | 2005-10-20 | 2017-06-30 | |
| AHK230 | WELLS Andrew David | RO | Advising on Futures Contracts | 2004-11-02 | 2017-06-30 | |
| AHK230 | WELLS Andrew David | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-04 | |
| AHK230 | WELLS Andrew David | RE | Asset Management | 2003-04-01 | 2005-10-20 | |
| AHK230 | WELLS Andrew David | RO | Asset Management | 2005-10-20 | 2017-06-30 | |
| AHK319 | ANG Analee D. | 洪鴻華 | RE | Asset Management | 2007-03-26 | |
| AHK659 | KWOK Yin Kwan | 郭嫣君 | RE | Dealing in Securities | 2004-10-11 | |
| AHK659 | KWOK Yin Kwan | 郭嫣君 | RE | Asset Management | 2004-10-11 | |
| AHK747 | SAUL Matthew David | RE | Dealing in Securities | 2003-04-01 | 2013-10-08 | |
| AHK747 | SAUL Matthew David | RO | Dealing in Securities | 2013-10-08 | 2018-04-30 | |
| AHK747 | SAUL Matthew David | RE | Advising on Securities | 2003-04-01 | 2004-10-20 | |
| AHK747 | SAUL Matthew David | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 | |
| AHK747 | SAUL Matthew David | RE | Asset Management | 2003-04-01 | 2018-04-30 | |
| AHM442 | CARLE Gregor | RE | Dealing in Securities | 2003-04-01 | 2004-10-19 | |
| AHM442 | CARLE Gregor | RE | Dealing in Securities | 2011-10-26 | 2015-03-19 | |
| AHM442 | CARLE Gregor | RE | Advising on Securities | 2003-04-01 | 2015-03-19 | |
| AHM442 | CARLE Gregor | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-19 | |
| AHM442 | CARLE Gregor | RE | Asset Management | 2003-04-01 | 2015-03-19 | |
| AHP775 | CHIU Pok Man, Alvin | 趙博文 | RE | Dealing in Securities | 2003-04-01 | 2007-10-26 |
| AHP775 | CHIU Pok Man, Alvin | 趙博文 | RE | Advising on Securities | 2003-04-01 | 2004-10-20 |
| AHP775 | CHIU Pok Man, Alvin | 趙博文 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-20 |
| AHP775 | CHIU Pok Man, Alvin | 趙博文 | RE | Asset Management | 2003-04-01 | 2007-10-26 |
| AHR671 | GORDON Michael Charles | RO | Dealing in Securities | 2003-04-01 | 2009-03-26 | |
| AHR671 | GORDON Michael Charles | RO | Advising on Securities | 2003-04-01 | 2009-03-26 | |
| AHR671 | GORDON Michael Charles | RO | Advising on Futures Contracts | 2003-04-01 | 2009-03-26 | |
| AHR671 | GORDON Michael Charles | RO | Asset Management | 2003-04-01 | 2009-03-26 | |
| AHX012 | FUNG Vivian | 馮蘊慧 | RE | Dealing in Securities | 2006-09-01 | |
| AHX012 | FUNG Vivian | 馮蘊慧 | RE | Advising on Securities | 2006-09-06 | |
| AHX012 | FUNG Vivian | 馮蘊慧 | RE | Asset Management | 2006-09-06 | |
| AIB180 | TRAN Trisha Thinh | RE | Dealing in Securities | 2005-06-07 | 2005-09-14 | |
| AIB180 | TRAN Trisha Thinh | RE | Asset Management | 2005-06-07 | 2005-09-14 | |
| AIO202 | LEE Tze Lai, Amanda | 李子麗 | RE | Dealing in Securities | 2011-01-25 | 2013-10-04 |
| AIO202 | LEE Tze Lai, Amanda | 李子麗 | RE | Asset Management | 2011-01-25 | 2012-05-24 |
| AIP442 | CHUNG Sang Won | RE | Advising on Securities | 2007-05-22 | 2008-06-20 | |
| AIP442 | CHUNG Sang Won | RE | Asset Management | 2007-04-12 | 2008-06-20 | |
| AIR266 | KWEK Geok Lan | 郭玉蘭 | RE | Advising on Securities | 2003-06-19 | 2018-05-31 |
| AIR266 | KWEK Geok Lan | 郭玉蘭 | RE | Asset Management | 2003-06-19 | 2018-05-31 |
| AIR269 | YEOH Pak-Luan | RE | Advising on Securities | 2003-05-09 | 2003-11-03 | |
| AIR269 | YEOH Pak-Luan | RE | Asset Management | 2003-05-09 | 2003-11-03 | |
| AIU618 | LIU Yili | 劉怡利 | RE | Advising on Securities | 2003-04-30 | 2008-11-17 |
| AIU618 | LIU Yili | 劉怡利 | RE | Asset Management | 2003-04-30 | 2008-11-17 |
| AIU726 | LEE Ming Jye | 李明潔 | RE | Asset Management | 2003-05-30 | 2006-06-28 |
| AIU747 | LECORNU Sharon Yau | 邱思安 | RE | Dealing in Securities | 2004-02-18 | 2008-04-30 |
| AIU747 | LECORNU Sharon Yau | 邱思安 | RE | Advising on Securities | 2003-05-30 | 2003-11-03 |
| AIU747 | LECORNU Sharon Yau | 邱思安 | RE | Asset Management | 2003-05-30 | 2003-11-03 |
| AIU747 | LECORNU Sharon Yau | 邱思安 | RE | Asset Management | 2004-02-18 | 2008-04-30 |
| AIX756 | YEUNG Shuk Wah | 楊淑華 | RE | Dealing in Securities | 2004-02-02 | 2007-03-10 |
| AIX756 | YEUNG Shuk Wah | 楊淑華 | RE | Advising on Securities | 2004-10-15 | 2007-03-10 |
| AIX756 | YEUNG Shuk Wah | 楊淑華 | RE | Asset Management | 2003-06-11 | 2007-03-10 |
| AJD641 | LO Pui Man | 勞珮雯 | RE | Dealing in Securities | 2004-07-20 | 2007-11-09 |
| AJD641 | LO Pui Man | 勞珮雯 | RE | Asset Management | 2004-07-20 | 2004-10-15 |
| AJE749 | FORD John Michael Frederic | RE | Dealing in Securities | 2006-07-01 | 2009-11-05 | |
| AJE749 | FORD John Michael Frederic | RO | Dealing in Securities | 2005-09-05 | 2006-07-01 | |
| AJE749 | FORD John Michael Frederic | RO | Dealing in Securities | 2009-11-05 | 2017-09-15 | |
| AJE749 | FORD John Michael Frederic | RE | Advising on Securities | 2006-07-01 | 2009-11-05 | |
| AJE749 | FORD John Michael Frederic | RO | Advising on Securities | 2005-09-05 | 2006-07-01 | |
| AJE749 | FORD John Michael Frederic | RO | Advising on Securities | 2009-11-05 | 2017-09-15 | |
| AJE749 | FORD John Michael Frederic | RE | Advising on Futures Contracts | 2009-08-28 | 2009-11-05 | |
| AJE749 | FORD John Michael Frederic | RO | Advising on Futures Contracts | 2009-11-05 | 2017-09-15 | |
| AJE749 | FORD John Michael Frederic | RE | Asset Management | 2006-07-01 | 2009-11-05 | |
| AJE749 | FORD John Michael Frederic | RO | Asset Management | 2005-09-05 | 2006-07-01 | |
| AJE749 | FORD John Michael Frederic | RO | Asset Management | 2009-11-05 | 2017-09-15 | |
| AJF334 | LEVIN Deborah Yu Lan | 李玉蘭 | RE | Advising on Securities | 2003-12-09 | 2005-07-28 |
| AJF334 | LEVIN Deborah Yu Lan | 李玉蘭 | RE | Asset Management | 2003-12-09 | 2005-07-28 |
| AJF482 | NG Shui To, Eleanor | 吳瑞濤 | RE | Dealing in Securities | 2004-10-15 | 2006-10-13 |
| AJF482 | NG Shui To, Eleanor | 吳瑞濤 | RE | Asset Management | 2003-12-09 | 2006-10-13 |
| AJG154 | SO Shin Yuk | 蘇倩玉 | RE | Dealing in Securities | 2016-05-20 | 2018-12-31 |
| AJG154 | SO Shin Yuk | 蘇倩玉 | RE | Advising on Securities | 2016-05-20 | 2018-12-31 |
| AJH022 | CHAN Debbie Ka Yee | 陳嘉怡 | RE | Dealing in Securities | 2005-06-16 | 2007-04-27 |
| AJH022 | CHAN Debbie Ka Yee | 陳嘉怡 | RE | Advising on Securities | 2005-06-16 | 2007-04-27 |
| AJH022 | CHAN Debbie Ka Yee | 陳嘉怡 | RE | Asset Management | 2005-06-16 | 2007-04-27 |
| AJH183 | SASSINE Andy Hani | RE | Advising on Securities | 2004-01-14 | 2004-06-01 | |
| AJH183 | SASSINE Andy Hani | RE | Asset Management | 2004-01-14 | 2004-06-01 | |
| AJI702 | SMITH Martin Andrew | RE | Dealing in Securities | 2009-04-30 | 2012-04-13 | |
| AJI702 | SMITH Martin Andrew | RE | Dealing in Securities | 2015-03-02 | 2015-10-02 | |
| AJI702 | SMITH Martin Andrew | RE | Advising on Securities | 2004-01-29 | 2004-10-15 | |
| AJI702 | SMITH Martin Andrew | RE | Advising on Securities | 2015-03-02 | 2015-10-02 | |
| AJI702 | SMITH Martin Andrew | RE | Asset Management | 2004-01-29 | 2012-04-13 | |
| AJI702 | SMITH Martin Andrew | RE | Asset Management | 2015-03-02 | 2015-10-02 | |
| AJK583 | HO Marie | 何文慧 | RE | Asset Management | 2005-05-31 | 2005-11-15 |
| AJL603 | LI Pui Shan | 李佩珊 | RE | Dealing in Securities | 2012-06-13 | 2014-08-20 |
| AJL603 | LI Pui Shan | 李佩珊 | RE | Advising on Securities | 2012-06-13 | 2014-08-20 |
| AJL603 | LI Pui Shan | 李佩珊 | RE | Asset Management | 2012-06-13 | 2014-08-20 |
| AJL731 | TANG Ki Shun, Jason | 鄧基信 | RE | Dealing in Securities | 2006-03-08 | 2007-08-11 |
| AJL731 | TANG Ki Shun, Jason | 鄧基信 | RE | Advising on Securities | 2006-03-01 | 2007-08-11 |
| AJL731 | TANG Ki Shun, Jason | 鄧基信 | RE | Asset Management | 2006-03-08 | 2007-08-11 |
| AJM928 | LEUNG Lai Sheung | 梁禮嫦 | RE | Asset Management | 2004-03-01 | 2007-04-10 |
| AJT911 | CHAN Sau Chi, Gigi | 陳秀沚 | RE | Advising on Securities | 2006-01-03 | 2007-05-12 |
| AJT911 | CHAN Sau Chi, Gigi | 陳秀沚 | RE | Asset Management | 2006-01-03 | 2007-05-12 |
| AKI406 | YIN Kuang-Ling | 尹廣鈴 | RE | Dealing in Securities | 2004-04-02 | 2006-06-18 |
| AKI406 | YIN Kuang-Ling | 尹廣鈴 | RE | Advising on Securities | 2004-10-15 | 2006-06-18 |
| AKI406 | YIN Kuang-Ling | 尹廣鈴 | RE | Asset Management | 2004-10-15 | 2006-06-18 |
| AKJ147 | LOOK Rosalind | RE | Advising on Securities | 2004-04-20 | 2008-11-17 | |
| AKJ147 | LOOK Rosalind | RE | Asset Management | 2004-04-20 | 2008-11-17 | |
| AKN213 | MAUPIN Darren John | RE | Advising on Securities | 2004-04-28 | 2006-05-15 | |
| AKN213 | MAUPIN Darren John | RE | Asset Management | 2004-04-28 | 2006-05-15 | |
| AKN215 | KWAN Heung Yan, Polly | 關向欣 | RE | Advising on Securities | 2004-04-27 | |
| AKN215 | KWAN Heung Yan, Polly | 關向欣 | RE | Asset Management | 2004-04-27 | |
| AKN216 | CHOUNG Soo Jin | 鄭秀珍 | RE | Advising on Securities | 2004-05-12 | 2005-08-31 |
| AKN216 | CHOUNG Soo Jin | 鄭秀珍 | RE | Asset Management | 2004-05-12 | 2005-08-31 |
| AKN217 | CHANG Jenny | 張巧倩 | RE | Advising on Securities | 2004-04-27 | 2006-09-29 |
| AKN217 | CHANG Jenny | 張巧倩 | RE | Asset Management | 2004-04-27 | 2006-09-29 |
| AKN218 | TUCKER JR Leon Robert | RE | Advising on Securities | 2004-04-27 | 2007-07-06 | |
| AKN218 | TUCKER JR Leon Robert | RE | Advising on Securities | 2013-01-04 | 2016-03-24 | |
| AKN218 | TUCKER JR Leon Robert | RE | Asset Management | 2004-04-27 | 2007-07-06 | |
| AKN218 | TUCKER JR Leon Robert | RE | Asset Management | 2013-01-04 | 2016-03-24 | |
| AKT388 | BLAIR James Malcolm | RE | Dealing in Securities | 2004-06-14 | 2006-09-01 | |
| AKT388 | BLAIR James Malcolm | RE | Advising on Securities | 2004-10-15 | 2006-09-01 | |
| AKT388 | BLAIR James Malcolm | RE | Asset Management | 2004-06-14 | 2006-09-01 | |
| AKW835 | CHONG Sai Wai, Shirley | 鍾世蕙 | RE | Dealing in Securities | 2004-07-02 | 2008-06-20 |
| ALA486 | LAW Kar Fai | 羅嘉輝 | RE | Dealing in Securities | 2010-11-29 | 2014-07-25 |
| ALA486 | LAW Kar Fai | 羅嘉輝 | RE | Asset Management | 2010-11-29 | 2014-07-25 |
| ALB977 | LINDMAN Nils Arne | RE | Dealing in Securities | 2010-06-24 | 2012-11-23 | |
| ALB977 | LINDMAN Nils Arne | RE | Advising on Securities | 2010-06-24 | 2012-11-23 | |
| ALB977 | LINDMAN Nils Arne | RE | Asset Management | 2010-06-24 | 2012-11-23 | |
| ALC935 | HO Wai Yiu | 何偉堯 | RE | Dealing in Securities | 2010-03-15 | 2011-03-12 |
| ALC935 | HO Wai Yiu | 何偉堯 | RE | Advising on Securities | 2010-03-24 | 2011-03-12 |
| ALC935 | HO Wai Yiu | 何偉堯 | RE | Asset Management | 2010-03-24 | 2011-03-12 |
| ALF578 | ABBONIZIO Maria Isabella | RE | Dealing in Securities | 2004-09-13 | ||
| ALF578 | ABBONIZIO Maria Isabella | RE | Asset Management | 2004-09-13 | ||
| ALF666 | SHEK Beatriz | 石陳穎雯 | RE | Dealing in Securities | 2006-08-28 | 2007-06-16 |
| ALF685 | LEE Jenny Jaung | 李莊靖宇 | RE | Dealing in Securities | 2014-06-11 | 2017-10-15 |
| ALF685 | LEE Jenny Jaung | 李莊靖宇 | RE | Advising on Securities | 2004-09-13 | 2017-10-15 |
| ALF685 | LEE Jenny Jaung | 李莊靖宇 | RE | Asset Management | 2004-09-13 | 2017-10-15 |
| ALH991 | SANDBERG Anna Louise | RE | Advising on Securities | 2006-07-07 | 2009-03-31 | |
| ALH991 | SANDBERG Anna Louise | RE | Asset Management | 2006-07-07 | 2009-03-31 | |
| ALI194 | CHAN Ho Yin | 陳浩賢 | RE | Dealing in Securities | 2004-10-11 | 2011-10-31 |
| ALI194 | CHAN Ho Yin | 陳浩賢 | RE | Advising on Securities | 2004-10-11 | 2011-10-31 |
| ALI194 | CHAN Ho Yin | 陳浩賢 | RE | Asset Management | 2004-10-11 | 2011-10-31 |
| ALI467 | CHAN Wai Man | 陳偉文 | RE | Dealing in Securities | 2017-11-15 | |
| ALI775 | LUI Suen Wah, Gary | 呂舜華 | RE | Dealing in Securities | 2011-02-23 | 2011-04-28 |
| ALK264 | NICHOLLS Dale Owen | RE | Advising on Securities | 2004-11-05 | ||
| ALK264 | NICHOLLS Dale Owen | RE | Asset Management | 2004-11-05 | ||
| ALN360 | MACLEOD Torquil Magnus | RE | Advising on Securities | 2012-02-23 | 2014-07-18 | |
| ALN360 | MACLEOD Torquil Magnus | RE | Asset Management | 2012-02-23 | 2014-07-18 | |
| ALO536 | JENKINS John Andrew | RE | Advising on Securities | 2004-12-28 | 2005-07-19 | |
| ALO536 | JENKINS John Andrew | RE | Asset Management | 2004-12-28 | 2005-07-19 | |
| ALP628 | WEE Mei Ling Beatrice | RE | Advising on Securities | 2005-01-03 | 2005-07-25 | |
| ALP628 | WEE Mei Ling Beatrice | RE | Asset Management | 2005-01-03 | 2005-07-25 | |
| ALQ334 | Wong Wai Kit Ricky | 黃偉傑 | RE | Dealing in Securities | 2014-12-16 | 2018-12-07 |
| ALQ999 | CHAN Tsz Yan, Timmy | 陳子欣 | RE | Dealing in Securities | 2005-01-26 | 2006-12-30 |
| ALQ999 | CHAN Tsz Yan, Timmy | 陳子欣 | RE | Advising on Securities | 2005-01-26 | 2006-12-30 |
| ALQ999 | CHAN Tsz Yan, Timmy | 陳子欣 | RE | Asset Management | 2005-01-26 | 2006-12-30 |
| ALR002 | TUEN MUK Hoi Ning, Helen | 端木愷寧 | RE | Dealing in Securities | 2005-01-26 | 2007-02-17 |
| ALR002 | TUEN MUK Hoi Ning, Helen | 端木愷寧 | RE | Dealing in Securities | 2010-07-29 | 2015-03-13 |
| ALR002 | TUEN MUK Hoi Ning, Helen | 端木愷寧 | RE | Advising on Securities | 2005-01-26 | 2007-02-17 |
| ALR002 | TUEN MUK Hoi Ning, Helen | 端木愷寧 | RE | Advising on Securities | 2010-07-29 | 2015-03-13 |
| ALR002 | TUEN MUK Hoi Ning, Helen | 端木愷寧 | RE | Asset Management | 2005-01-26 | 2007-02-17 |
| ALR002 | TUEN MUK Hoi Ning, Helen | 端木愷寧 | RE | Asset Management | 2010-07-29 | 2015-03-13 |
| ALR004 | WU Oi Chung, Jocelyn | 胡愛忠 | RE | Advising on Securities | 2005-01-26 | 2014-05-23 |
| ALR004 | WU Oi Chung, Jocelyn | 胡愛忠 | RE | Asset Management | 2005-01-26 | 2014-05-23 |
| ALS502 | WONG Ming Him, Joseph | 王銘謙 | RE | Dealing in Securities | 2005-02-17 | 2007-01-20 |
| ALS502 | WONG Ming Him, Joseph | 王銘謙 | RE | Advising on Securities | 2005-02-17 | 2007-01-20 |
| ALS502 | WONG Ming Him, Joseph | 王銘謙 | RE | Asset Management | 2005-02-17 | 2007-01-20 |
| ALV208 | LEE Jeannie M | 李麗明 | RE | Asset Management | 2005-03-22 | 2017-06-16 |
| ALV268 | CHEUNG Ghing Kee, Edward | 張正基 | RE | Dealing in Securities | 2005-03-22 | |
| ALV268 | CHEUNG Ghing Kee, Edward | 張正基 | RE | Asset Management | 2005-03-22 | |
| ALW648 | CHAN Benjamin Yu-ki | 曾裕基 | RE | Dealing in Securities | 2013-05-27 | 2015-10-22 |
| ALW648 | CHAN Benjamin Yu-ki | 曾裕基 | RE | Asset Management | 2013-05-27 | 2015-10-22 |
| ALW878 | LO Yuk Mi, Winnie | 盧鈺薇 | RE | Dealing in Securities | 2005-05-30 | 2005-08-04 |
| ALW878 | LO Yuk Mi, Winnie | 盧鈺薇 | RE | Advising on Securities | 2005-05-30 | 2005-08-04 |
| ALW878 | LO Yuk Mi, Winnie | 盧鈺薇 | RE | Asset Management | 2005-05-30 | 2005-08-04 |
| ALY132 | FRAZIER Rufus Lewis | RE | Advising on Securities | 2005-04-21 | 2005-08-26 | |
| ALY132 | FRAZIER Rufus Lewis | RE | Advising on Securities | 2006-08-15 | 2010-08-12 | |
| ALY132 | FRAZIER Rufus Lewis | RE | Asset Management | 2005-04-21 | 2005-08-26 | |
| ALY132 | FRAZIER Rufus Lewis | RE | Asset Management | 2006-08-15 | 2010-08-12 | |
| ALY134 | WIDJAJA Sugiharto Sudiro | 黃友富 | RE | Advising on Securities | 2005-04-21 | 2005-08-26 |
| ALY134 | WIDJAJA Sugiharto Sudiro | 黃友富 | RE | Asset Management | 2005-04-21 | 2005-08-26 |
| ALZ174 | LAU Keith Ka Ki | 劉家麒 | RE | Dealing in Securities | 2014-04-22 | |
| ALZ174 | LAU Keith Ka Ki | 劉家麒 | RE | Asset Management | 2014-04-22 | |
| ALZ242 | BASRAR Saurabh | RE | Advising on Securities | 2005-05-11 | 2005-08-26 | |
| ALZ242 | BASRAR Saurabh | RE | Asset Management | 2005-05-11 | 2005-08-26 | |
| AMA948 | NG Yiu Ho | 吳耀豪 | RE | Dealing in Securities | 2005-05-30 | 2006-11-17 |
| AMA948 | NG Yiu Ho | 吳耀豪 | RE | Advising on Securities | 2005-05-30 | 2006-11-17 |
| AMA948 | NG Yiu Ho | 吳耀豪 | RE | Asset Management | 2005-05-30 | 2006-11-17 |
| AMB206 | MCGANN Carl Nelson | RE | Asset Management | 2005-05-31 | 2014-06-30 | |
| AMB207 | CHENG Kitty Ka Sin | 鄭嘉倩 | RE | Dealing in Securities | 2005-06-06 | 2006-04-11 |
| AMB207 | CHENG Kitty Ka Sin | 鄭嘉倩 | RE | Advising on Securities | 2005-06-06 | 2006-04-11 |
| AMB207 | CHENG Kitty Ka Sin | 鄭嘉倩 | RE | Asset Management | 2005-06-06 | 2006-04-11 |
| AMC831 | PATEL Rikesh Hasmukh | RE | Advising on Securities | 2005-06-16 | ||
| AMC831 | PATEL Rikesh Hasmukh | RE | Asset Management | 2005-06-16 | ||
| AMF023 | LEUNG Alex Heng Yu | 梁恆宇 | RE | Advising on Securities | 2005-07-06 | 2008-05-27 |
| AMF023 | LEUNG Alex Heng Yu | 梁恆宇 | RE | Asset Management | 2005-07-06 | 2008-05-27 |
| AMF520 | CHAN Cheuk Lun | 陳卓倫 | RE | Dealing in Securities | 2005-07-12 | 2005-09-30 |
| AMF520 | CHAN Cheuk Lun | 陳卓倫 | RE | Advising on Securities | 2005-07-12 | 2005-09-30 |
| AMF520 | CHAN Cheuk Lun | 陳卓倫 | RE | Asset Management | 2005-07-12 | 2005-09-30 |
| AMF770 | MAHTANI Vishal Gobind | RE | Dealing in Securities | 2009-06-05 | 2011-07-23 | |
| AMF770 | MAHTANI Vishal Gobind | RE | Advising on Securities | 2005-07-18 | 2011-07-23 | |
| AMF770 | MAHTANI Vishal Gobind | RE | Asset Management | 2005-07-18 | 2011-07-23 | |
| AMH154 | SKURNIK Mark Damien | RE | Advising on Securities | 2005-07-22 | 2017-12-26 | |
| AMH154 | SKURNIK Mark Damien | RE | Asset Management | 2005-07-22 | 2017-12-26 | |
| AMH160 | RAO Vigyan | RE | Advising on Securities | 2005-07-22 | 2007-08-08 | |
| AMH160 | RAO Vigyan | RE | Asset Management | 2005-07-22 | 2007-08-08 | |
| AMH725 | CHAN Yuen Ching, Toby | 陳婉貞 | RE | Dealing in Securities | 2005-07-28 | 2006-11-23 |
| AMH725 | CHAN Yuen Ching, Toby | 陳婉貞 | RE | Dealing in Securities | 2006-12-28 | 2007-09-27 |
| AMH725 | CHAN Yuen Ching, Toby | 陳婉貞 | RE | Asset Management | 2005-07-28 | 2006-11-23 |
| AMH725 | CHAN Yuen Ching, Toby | 陳婉貞 | RE | Asset Management | 2006-12-28 | 2007-09-27 |
| AMI862 | SERGEANT Iain Andrew | RE | Advising on Securities | 2005-08-10 | 2008-09-05 | |
| AMI862 | SERGEANT Iain Andrew | RE | Asset Management | 2005-08-10 | 2008-09-05 | |
| AMJ495 | MA Clifford Po Wah | 馬寶華 | RE | Dealing in Securities | 2005-08-15 | |
| AMJ495 | MA Clifford Po Wah | 馬寶華 | RE | Advising on Securities | 2005-08-15 | |
| AMJ495 | MA Clifford Po Wah | 馬寶華 | RE | Asset Management | 2005-08-15 | |
| AMJ499 | LING Yuk Fai, Bernard | 凌旭輝 | RE | Dealing in Securities | 2005-08-15 | 2007-06-09 |
| AMJ499 | LING Yuk Fai, Bernard | 凌旭輝 | RE | Advising on Securities | 2005-08-15 | 2007-06-09 |
| AMJ499 | LING Yuk Fai, Bernard | 凌旭輝 | RE | Asset Management | 2005-08-15 | 2007-06-09 |
| AMJ740 | MATTHEWS Kathryn Ann | RE | Dealing in Securities | 2005-08-31 | 2008-04-01 | |
| AMJ740 | MATTHEWS Kathryn Ann | RO | Dealing in Securities | 2008-04-01 | 2009-12-31 | |
| AMJ740 | MATTHEWS Kathryn Ann | RE | Advising on Securities | 2005-08-31 | 2008-04-01 | |
| AMJ740 | MATTHEWS Kathryn Ann | RO | Advising on Securities | 2008-04-01 | 2009-12-31 | |
| AMJ740 | MATTHEWS Kathryn Ann | RE | Advising on Futures Contracts | 2005-08-31 | 2008-04-01 | |
| AMJ740 | MATTHEWS Kathryn Ann | RO | Advising on Futures Contracts | 2008-04-01 | 2009-12-31 | |
| AMJ740 | MATTHEWS Kathryn Ann | RE | Asset Management | 2005-08-31 | 2008-04-01 | |
| AMJ740 | MATTHEWS Kathryn Ann | RO | Asset Management | 2008-04-01 | 2009-12-31 | |
| AMJ980 | SIN Fong Ting, Melody | 冼芳婷 | RE | Dealing in Securities | 2005-08-23 | 2007-06-23 |
| AMM338 | CHAN Wai Tai, Polly | 陳偉娣 | RE | Dealing in Securities | 2005-09-20 | 2017-06-30 |
| AMM338 | CHAN Wai Tai, Polly | 陳偉娣 | RE | Asset Management | 2005-09-20 | 2017-06-30 |
| AMO992 | CHENG Sze Wai | 鄭思慧 | RE | Dealing in Securities | 2005-10-17 | 2006-05-26 |
| AMO992 | CHENG Sze Wai | 鄭思慧 | RE | Advising on Securities | 2005-10-17 | 2006-05-26 |
| AMO992 | CHENG Sze Wai | 鄭思慧 | RE | Asset Management | 2005-10-17 | 2006-05-26 |
| AMO994 | HOMAN Alexander Hugh | RE | Dealing in Securities | 2005-10-18 | 2016-04-04 | |
| AMQ370 | NG Leng | RE | Asset Management | 2005-10-26 | 2006-11-30 | |
| AMQ373 | LAM Yi Ling | 林依齡 | RE | Dealing in Securities | 2005-10-26 | 2007-07-28 |
| AMQ373 | LAM Yi Ling | 林依齡 | RE | Advising on Securities | 2005-10-26 | 2007-07-28 |
| AMQ373 | LAM Yi Ling | 林依齡 | RE | Asset Management | 2005-10-26 | 2007-07-28 |
| AMQ696 | WONG Ching Man | 王正汶 | RE | Dealing in Securities | 2017-09-28 | |
| AMQ696 | WONG Ching Man | 王正汶 | RE | Advising on Securities | 2017-09-28 | |
| AMR265 | KO Wai Ling | 高韋玲 | RE | Dealing in Securities | 2011-05-26 | 2017-04-07 |
| AMS259 | CHAU Victor Wing Chak | 周永澤 | RE | Dealing in Securities | 2005-11-14 | |
| AMS259 | CHAU Victor Wing Chak | 周永澤 | RE | Advising on Securities | 2005-11-14 | |
| AMS259 | CHAU Victor Wing Chak | 周永澤 | RE | Asset Management | 2005-11-14 | |
| AMS333 | HAI Jimmy | 奚琤 | RE | Dealing in Securities | 2005-11-15 | 2006-05-19 |
| AMS333 | HAI Jimmy | 奚琤 | RE | Advising on Securities | 2005-11-15 | 2006-05-19 |
| AMS333 | HAI Jimmy | 奚琤 | RE | Asset Management | 2005-11-15 | 2006-05-19 |
| AMS398 | PFAFF Hendrik Jurgens | RE | Dealing in Securities | 2005-11-17 | 2006-01-31 | |
| AMS400 | ODILI Josef Chukwuma | RE | Dealing in Securities | 2005-11-17 | 2007-09-19 | |
| AMS605 | SHU Lai Yi | 舒麗兒 | RE | Dealing in Securities | 2012-07-25 | 2013-05-31 |
| AMT888 | KU Suk Man, Lucia | 谷淑敏 | RE | Dealing in Securities | 2005-11-29 | 2006-03-16 |
| AMT888 | KU Suk Man, Lucia | 谷淑敏 | RE | Asset Management | 2005-11-29 | 2006-03-16 |
| AMU237 | LI Jing | 李京 | RE | Dealing in Securities | 2005-12-06 | 2007-06-16 |
| AMU237 | LI Jing | 李京 | RE | Asset Management | 2005-12-06 | 2007-06-16 |
| AMU653 | AVELLA Adriana Katherinne | RE | Dealing in Securities | 2005-12-12 | 2007-04-28 | |
| AMU653 | AVELLA Adriana Katherinne | RE | Asset Management | 2005-12-12 | 2007-04-28 | |
| AMU659 | FONG Wai Yin, Ada | 方慧賢 | RE | Dealing in Securities | 2005-12-12 | 2007-02-08 |
| AMU659 | FONG Wai Yin, Ada | 方慧賢 | RE | Asset Management | 2005-12-12 | 2007-02-08 |
| AMW513 | LO Kwok Wa | 盧國華 | RE | Dealing in Securities | 2006-09-25 | 2008-01-26 |
| AMW513 | LO Kwok Wa | 盧國華 | RE | Advising on Securities | 2006-09-25 | 2008-01-26 |
| AMW513 | LO Kwok Wa | 盧國華 | RE | Asset Management | 2006-09-25 | 2008-01-26 |
| AMW549 | LEUNG Kit Yee, Elka | 梁潔儀 | RE | Dealing in Securities | 2005-12-29 | 2007-07-28 |
| AMW549 | LEUNG Kit Yee, Elka | 梁潔儀 | RE | Asset Management | 2005-12-29 | 2007-07-28 |
| AMW551 | LUNDBERG Karl Andreas | RE | Advising on Securities | 2005-12-29 | 2008-09-30 | |
| AMW551 | LUNDBERG Karl Andreas | RE | Asset Management | 2005-12-29 | 2008-09-30 | |
| AMY264 | WAN Lai Shan | 溫麗珊 | RE | Asset Management | 2006-01-18 | 2018-01-29 |
| AMY850 | SKELT Richard Stephen | RE | Dealing in Securities | 2006-01-26 | 2010-03-16 | |
| ANA555 | MADDEN Edward Eugene | RE | Dealing in Securities | 2006-02-17 | 2006-03-10 | |
| ANB380 | SOHN Hyunho | RE | Advising on Securities | 2010-02-17 | 2011-03-01 | |
| ANB380 | SOHN Hyunho | RE | Asset Management | 2010-02-17 | 2011-03-01 | |
| ANE311 | KOO Julie J | RE | Dealing in Securities | 2006-03-13 | 2010-02-03 | |
| ANE311 | KOO Julie J | RE | Advising on Securities | 2006-08-28 | 2010-02-03 | |
| ANE311 | KOO Julie J | RE | Asset Management | 2006-08-28 | 2010-02-03 | |
| ANF280 | HO Kar Yee, Sharon | 何加兒 | RE | Dealing in Securities | 2006-03-24 | 2007-01-20 |
| ANF280 | HO Kar Yee, Sharon | 何加兒 | RE | Asset Management | 2006-03-24 | 2007-01-20 |
| ANF282 | REILLY Lucy | RE | Dealing in Securities | 2006-03-24 | 2006-08-17 | |
| ANF282 | REILLY Lucy | RE | Asset Management | 2006-03-24 | 2006-08-17 | |
| ANG124 | YAU Yuet Fong | 丘月芳 | RE | Dealing in Securities | 2010-06-07 | 2011-08-06 |
| ANG124 | YAU Yuet Fong | 丘月芳 | RE | Advising on Securities | 2010-06-07 | 2011-08-06 |
| ANG124 | YAU Yuet Fong | 丘月芳 | RE | Asset Management | 2010-06-07 | 2011-08-06 |
| ANG162 | WONG George Ka Kui | 王家駒 | RE | Dealing in Securities | 2006-03-24 | 2008-11-17 |
| ANG162 | WONG George Ka Kui | 王家駒 | RE | Asset Management | 2006-03-24 | 2008-11-17 |
| ANG431 | COLLINS Bryan Anthony | RE | Dealing in Securities | 2006-04-04 | 2018-06-06 | |
| ANG431 | COLLINS Bryan Anthony | RO | Dealing in Securities | 2018-06-06 | ||
| ANG431 | COLLINS Bryan Anthony | RE | Advising on Securities | 2012-04-11 | 2018-06-06 | |
| ANG431 | COLLINS Bryan Anthony | RO | Advising on Securities | 2018-06-06 | ||
| ANG431 | COLLINS Bryan Anthony | RE | Asset Management | 2006-04-04 | 2018-06-06 | |
| ANG431 | COLLINS Bryan Anthony | RO | Asset Management | 2018-06-06 | ||
| ANG999 | TONG Pui Ling, Vivian | 唐珮玲 | RE | Dealing in Securities | 2006-04-11 | 2009-02-27 |
| ANG999 | TONG Pui Ling, Vivian | 唐珮玲 | RE | Advising on Securities | 2006-04-11 | 2009-02-27 |
| ANG999 | TONG Pui Ling, Vivian | 唐珮玲 | RE | Asset Management | 2006-04-11 | 2009-02-27 |
| ANH317 | YIU Keung, Ken | 姚強 | RE | Dealing in Securities | 2010-08-02 | 2012-01-17 |
| ANH724 | VENES Carolus Franciscus Arnoldus | RE | Dealing in Securities | 2008-07-04 | 2011-10-01 | |
| ANH724 | VENES Carolus Franciscus Arnoldus | RE | Advising on Securities | 2008-07-04 | 2011-10-01 | |
| ANH724 | VENES Carolus Franciscus Arnoldus | RE | Asset Management | 2008-07-04 | 2011-10-01 | |
| ANK110 | KOH Shern-Ling | RE | Advising on Securities | 2006-05-17 | 2006-09-02 | |
| ANK110 | KOH Shern-Ling | RE | Asset Management | 2006-05-17 | 2006-09-02 | |
| ANK117 | LEE Jung Lim | RE | Advising on Securities | 2006-05-16 | 2006-09-02 | |
| ANK117 | LEE Jung Lim | RE | Asset Management | 2006-05-16 | 2006-09-02 | |
| ANK121 | LAU Chun Yu | 劉振宇 | RE | Advising on Securities | 2006-05-16 | 2006-09-07 |
| ANK121 | LAU Chun Yu | 劉振宇 | RE | Asset Management | 2006-05-16 | 2006-09-07 |
| ANK122 | CHOE Eric Ho-Joon | RE | Advising on Securities | 2006-05-16 | 2006-09-02 | |
| ANK122 | CHOE Eric Ho-Joon | RE | Advising on Securities | 2007-08-13 | 2012-07-03 | |
| ANK122 | CHOE Eric Ho-Joon | RE | Asset Management | 2006-05-16 | 2006-09-02 | |
| ANK122 | CHOE Eric Ho-Joon | RE | Asset Management | 2007-08-13 | 2012-07-03 | |
| ANK136 | GOPALAKRISHNAN Aniruddha | RE | Advising on Securities | 2006-05-16 | 2006-09-07 | |
| ANK136 | GOPALAKRISHNAN Aniruddha | RE | Advising on Securities | 2007-08-13 | 2010-08-12 | |
| ANK136 | GOPALAKRISHNAN Aniruddha | RE | Asset Management | 2006-05-16 | 2006-09-07 | |
| ANK136 | GOPALAKRISHNAN Aniruddha | RE | Asset Management | 2007-08-13 | 2010-08-12 | |
| ANK155 | TALBOT Mark Antony Alain Charles | RE | Dealing in Securities | 2011-07-19 | 2012-06-12 | |
| ANK155 | TALBOT Mark Antony Alain Charles | RO | Dealing in Securities | 2012-06-12 | 2018-06-29 | |
| ANK155 | TALBOT Mark Antony Alain Charles | RE | Advising on Securities | 2011-07-19 | 2012-06-12 | |
| ANK155 | TALBOT Mark Antony Alain Charles | RO | Advising on Securities | 2012-06-12 | 2018-06-29 | |
| ANK155 | TALBOT Mark Antony Alain Charles | RE | Asset Management | 2011-07-19 | 2012-06-12 | |
| ANK155 | TALBOT Mark Antony Alain Charles | RO | Asset Management | 2012-06-12 | 2018-06-29 | |
| ANK156 | LIN Tung-Yi | 林東億 | RE | Dealing in Securities | 2006-05-22 | 2006-05-29 |
| ANK705 | KHAN Peter Alexander | RE | Dealing in Securities | 2006-06-05 | 2009-11-02 | |
| ANK705 | KHAN Peter Alexander | RE | Dealing in Securities | 2017-05-25 | ||
| ANK705 | KHAN Peter Alexander | RE | Asset Management | 2006-06-05 | 2009-11-02 | |
| ANK715 | KIM Tae Woo | RE | Advising on Securities | 2006-05-22 | 2006-08-17 | |
| ANK715 | KIM Tae Woo | RE | Asset Management | 2006-05-22 | 2006-08-17 | |
| ANK738 | LANDAZABAL VERDE Juan Antonio | RE | Dealing in Securities | 2006-06-05 | 2013-08-09 | |
| ANK738 | LANDAZABAL VERDE Juan Antonio | RE | Asset Management | 2006-06-05 | 2013-08-09 | |
| ANK741 | FALCO Andrew James | RE | Dealing in Securities | 2006-06-05 | 2018-06-19 | |
| ANK741 | FALCO Andrew James | RE | Dealing in Securities | 2018-10-29 | ||
| ANK741 | FALCO Andrew James | RO | Dealing in Securities | 2018-06-19 | 2018-10-29 | |
| ANK741 | FALCO Andrew James | RE | Asset Management | 2006-06-05 | 2018-06-19 | |
| ANK741 | FALCO Andrew James | RE | Asset Management | 2018-10-29 | ||
| ANK741 | FALCO Andrew James | RO | Asset Management | 2018-06-19 | 2018-10-29 | |
| ANK746 | CHURCH Jeremy Wilkie | RE | Dealing in Securities | 2006-06-05 | 2012-08-22 | |
| ANK746 | CHURCH Jeremy Wilkie | RE | Asset Management | 2006-06-05 | 2012-08-22 | |
| ANL094 | LEE Hui Ying, Monica | 李煦盈 | RE | Dealing in Securities | 2006-05-29 | 2011-07-01 |
| ANL094 | LEE Hui Ying, Monica | 李煦盈 | RE | Advising on Securities | 2006-05-29 | 2011-07-01 |
| ANL094 | LEE Hui Ying, Monica | 李煦盈 | RE | Asset Management | 2006-05-29 | 2011-07-01 |
| ANL955 | YEUNG Catherine Ann | NA | RE | Dealing in Securities | 2006-06-30 | |
| ANL955 | YEUNG Catherine Ann | NA | RE | Advising on Securities | 2006-05-30 | 2006-06-29 |
| ANL955 | YEUNG Catherine Ann | NA | RE | Asset Management | 2006-05-30 | |
| ANM462 | TAYLOR Paul Christopher | RE | Dealing in Securities | 2006-06-21 | 2006-06-30 | |
| ANM462 | TAYLOR Paul Christopher | RE | Dealing in Securities | 2007-11-08 | 2007-11-17 | |
| ANN569 | HOOI Yin Ann | 許妍 | RE | Dealing in Securities | 2006-06-22 | 2015-09-18 |
| ANN569 | HOOI Yin Ann | 許妍 | RE | Advising on Securities | 2006-06-22 | 2015-09-18 |
| ANN569 | HOOI Yin Ann | 許妍 | RE | Asset Management | 2006-06-22 | 2015-09-18 |
| ANQ047 | LEE Suet Lai, Chloe | 李雪麗 | RE | Dealing in Securities | 2006-07-04 | 2008-03-07 |
| ANQ047 | LEE Suet Lai, Chloe | 李雪麗 | RE | Advising on Securities | 2006-07-04 | 2008-03-07 |
| ANQ047 | LEE Suet Lai, Chloe | 李雪麗 | RE | Asset Management | 2006-07-04 | 2008-03-07 |
| ANQ325 | HOCHMAN Jeffrey Lawrence | RE | Dealing in Securities | 2006-07-11 | 2017-01-02 | |
| ANQ723 | DANCE John Andrew | RE | Advising on Securities | 2006-07-14 | 2008-12-11 | |
| ANQ723 | DANCE John Andrew | RE | Asset Management | 2006-07-14 | 2008-12-11 | |
| ANS069 | CHU Mun Yee, Liza | 朱敏儀 | RE | Dealing in Securities | 2006-07-31 | 2010-03-13 |
| ANS069 | CHU Mun Yee, Liza | 朱敏儀 | RE | Advising on Securities | 2006-07-31 | 2010-03-13 |
| ANS069 | CHU Mun Yee, Liza | 朱敏儀 | RE | Asset Management | 2006-07-31 | 2010-03-13 |
| ANT422 | KONG Man Ying | 江汶櫻 | RE | Dealing in Securities | 2015-07-03 | |
| ANT422 | KONG Man Ying | 江汶櫻 | RE | Advising on Securities | 2015-07-03 | |
| ANU236 | HUNG Ngai Wa Eva | 孔藝樺 | RE | Dealing in Securities | 2006-08-15 | 2007-08-09 |
| ANU236 | HUNG Ngai Wa Eva | 孔藝樺 | RE | Advising on Securities | 2006-08-15 | 2007-08-09 |
| ANU236 | HUNG Ngai Wa Eva | 孔藝樺 | RE | Asset Management | 2006-08-15 | 2007-08-09 |
| ANV081 | NGAI Dylan Tung Lun | 魏冬麟 | RE | Dealing in Securities | 2006-08-22 | 2012-04-02 |
| ANV081 | NGAI Dylan Tung Lun | 魏冬麟 | RE | Advising on Securities | 2011-09-21 | 2015-05-21 |
| ANV081 | NGAI Dylan Tung Lun | 魏冬麟 | RE | Asset Management | 2006-08-22 | 2015-05-21 |
| ANV082 | PHADNIS Dhananjay Shrikrishna | RE | Advising on Securities | 2006-08-22 | ||
| ANV082 | PHADNIS Dhananjay Shrikrishna | RE | Asset Management | 2006-08-22 | ||
| ANZ811 | LI Sek Chuen | 李錫全 | RE | Dealing in Securities | 2006-09-25 | 2007-11-20 |
| ANZ811 | LI Sek Chuen | 李錫全 | RE | Advising on Securities | 2006-09-25 | 2007-11-20 |
| ANZ811 | LI Sek Chuen | 李錫全 | RE | Asset Management | 2006-09-25 | 2007-11-20 |
| ANZ812 | SUKENDAR Edward Chan | 陳志文 | RE | Dealing in Securities | 2006-09-25 | 2015-11-24 |
| ANZ812 | SUKENDAR Edward Chan | 陳志文 | RE | Advising on Securities | 2006-09-25 | 2015-11-24 |
| ANZ812 | SUKENDAR Edward Chan | 陳志文 | RE | Asset Management | 2006-09-25 | 2015-11-24 |
| ANZ814 | LEE Yui | 李銳 | RE | Dealing in Securities | 2006-09-25 | 2008-02-27 |
| ANZ814 | LEE Yui | 李銳 | RE | Advising on Securities | 2006-09-25 | 2008-02-27 |
| ANZ814 | LEE Yui | 李銳 | RE | Asset Management | 2006-09-25 | 2008-02-27 |
| AOA972 | KWOK Yin Ting, Rowena | 郭燕婷 | RE | Dealing in Securities | 2006-10-12 | 2012-08-31 |
| AOA972 | KWOK Yin Ting, Rowena | 郭燕婷 | RE | Asset Management | 2006-10-12 | 2012-08-31 |
| AOB160 | YIM Ka Wang | 嚴家宏 | RE | Dealing in Securities | 2011-11-07 | 2014-04-22 |
| AOB160 | YIM Ka Wang | 嚴家宏 | RE | Advising on Securities | 2011-11-07 | 2014-04-22 |
| AOB160 | YIM Ka Wang | 嚴家宏 | RE | Asset Management | 2011-11-07 | 2014-04-22 |
| AOC745 | FUNG Miu Ting, Michele | 馮妙婷 | RE | Dealing in Securities | 2006-10-31 | |
| AOC745 | FUNG Miu Ting, Michele | 馮妙婷 | RE | Advising on Securities | 2006-10-31 | |
| AOC745 | FUNG Miu Ting, Michele | 馮妙婷 | RE | Asset Management | 2006-10-31 | |
| AOD007 | KOCHHAR Sachin | RE | Dealing in Securities | 2006-11-08 | 2008-08-08 | |
| AOD007 | KOCHHAR Sachin | RE | Asset Management | 2006-11-08 | 2008-08-08 | |
| AOD028 | ZHOU Wenqun | 周文群 | RE | Advising on Securities | 2014-09-03 | |
| AOD028 | ZHOU Wenqun | 周文群 | RE | Asset Management | 2014-09-03 | |
| AOD595 | TSANG Maggie Man-Ying | 曾敏瑩 | RE | Dealing in Securities | 2011-04-27 | 2011-08-06 |
| AOD595 | TSANG Maggie Man-Ying | 曾敏瑩 | RE | Advising on Securities | 2011-04-27 | 2011-08-06 |
| AOD595 | TSANG Maggie Man-Ying | 曾敏瑩 | RE | Asset Management | 2011-04-27 | 2011-08-06 |
| AOE462 | LAM Ting Wai, Anita | 林庭慧 | RE | Dealing in Securities | 2010-01-04 | 2010-06-01 |
| AOE462 | LAM Ting Wai, Anita | 林庭慧 | RE | Advising on Securities | 2010-01-04 | 2010-06-01 |
| AOE462 | LAM Ting Wai, Anita | 林庭慧 | RE | Asset Management | 2010-01-04 | 2010-06-01 |
| AOH365 | CHO Ki Po, Mabel | 曹紀寶 | RE | Dealing in Securities | 2010-04-16 | 2015-04-24 |
| AOH365 | CHO Ki Po, Mabel | 曹紀寶 | RE | Advising on Securities | 2010-04-16 | 2015-04-24 |
| AOH365 | CHO Ki Po, Mabel | 曹紀寶 | RE | Asset Management | 2010-04-30 | 2015-04-24 |
| AOJ393 | CHAN So Han | 陳素嫻 | RE | Dealing in Securities | 2007-05-09 | 2016-10-07 |
| AOJ393 | CHAN So Han | 陳素嫻 | RE | Dealing in Securities | 2017-09-28 | 2019-01-14 |
| AOJ393 | CHAN So Han | 陳素嫻 | RE | Advising on Securities | 2007-04-24 | 2016-10-07 |
| AOJ393 | CHAN So Han | 陳素嫻 | RE | Advising on Securities | 2017-09-28 | 2019-01-14 |
| AOJ393 | CHAN So Han | 陳素嫻 | RE | Asset Management | 2007-05-09 | 2016-10-07 |
| AOJ393 | CHAN So Han | 陳素嫻 | RE | Asset Management | 2017-09-28 | 2019-01-14 |
| AOK735 | MARTIN Robert Frederick | RE | Dealing in Securities | 2007-01-15 | 2010-06-30 | |
| AOK735 | MARTIN Robert Frederick | RE | Asset Management | 2007-01-15 | 2010-06-30 | |
| AOL610 | QUAH Chum Yong | 柯燦勇 | RE | Dealing in Securities | 2008-07-22 | 2011-07-02 |
| AOL610 | QUAH Chum Yong | 柯燦勇 | RE | Advising on Securities | 2008-07-02 | 2011-07-02 |
| AOL610 | QUAH Chum Yong | 柯燦勇 | RE | Asset Management | 2008-07-02 | 2011-07-02 |
| AON268 | SANTER Johann Peter | RE | Dealing in Securities | 2018-07-19 | ||
| AON298 | HALE Evan Arthur | RO | Dealing in Securities | 2007-03-16 | 2008-12-31 | |
| AON298 | HALE Evan Arthur | RO | Advising on Securities | 2007-03-16 | 2008-12-31 | |
| AON298 | HALE Evan Arthur | RO | Asset Management | 2007-03-16 | 2008-12-31 | |
| AON422 | CHU Chui Man | 朱翠敏 | RE | Dealing in Securities | 2010-07-13 | 2013-10-04 |
| AON422 | CHU Chui Man | 朱翠敏 | RE | Asset Management | 2010-07-13 | 2013-10-04 |
| AON788 | CHEN I-ju | 陳怡如 | RE | Dealing in Securities | 2008-09-19 | 2008-11-19 |
| AON788 | CHEN I-ju | 陳怡如 | RE | Advising on Securities | 2008-09-19 | 2008-11-19 |
| AON788 | CHEN I-ju | 陳怡如 | RE | Asset Management | 2008-10-16 | 2008-11-19 |
| AON862 | LAUGHLIN Scott Lee | RE | Dealing in Securities | 2007-02-12 | 2009-03-31 | |
| AON862 | LAUGHLIN Scott Lee | RE | Asset Management | 2007-02-12 | 2009-03-31 | |
| AOO268 | WONG Wing Lok, Eponine | 黃穎樂 | RE | Dealing in Securities | 2007-02-12 | 2008-09-23 |
| AOO268 | WONG Wing Lok, Eponine | 黃穎樂 | RE | Advising on Securities | 2007-02-12 | 2008-09-23 |
| AOO268 | WONG Wing Lok, Eponine | 黃穎樂 | RE | Asset Management | 2007-02-12 | 2008-09-23 |
| AOO806 | XU Luyan | 許路雁 | RE | Dealing in Securities | 2015-10-09 | |
| AOO806 | XU Luyan | 許路雁 | RE | Advising on Securities | 2015-10-09 | |
| AOP024 | CHONG Siang Hooi | 張向暉 | RE | Advising on Securities | 2007-02-21 | 2010-04-12 |
| AOP024 | CHONG Siang Hooi | 張向暉 | RE | Asset Management | 2007-02-21 | 2010-04-12 |
| AOQ727 | CHEUNG Chi Kit | 張智傑 | RE | Dealing in Securities | 2007-03-02 | 2009-02-27 |
| AOQ727 | CHEUNG Chi Kit | 張智傑 | RE | Advising on Securities | 2007-03-02 | 2009-02-27 |
| AOQ727 | CHEUNG Chi Kit | 張智傑 | RE | Asset Management | 2007-03-02 | 2009-02-27 |
| AOQ811 | LAM Wan Yeung, Carol | 林韻洋 | RE | Dealing in Securities | 2013-08-06 | |
| AOQ811 | LAM Wan Yeung, Carol | 林韻洋 | RE | Advising on Securities | 2013-08-06 | |
| AOR241 | BULLER Steve Jerome | RE | Dealing in Securities | 2007-03-14 | 2012-08-22 | |
| AOR267 | WEN Yufeng | 溫宇峰 | RE | Advising on Securities | 2007-08-29 | 2010-05-11 |
| AOR267 | WEN Yufeng | 溫宇峰 | RE | Asset Management | 2007-08-29 | 2010-05-11 |
| AOS415 | CHENG Kin Kiu | 鄭健翹 | RE | Dealing in Securities | 2007-03-26 | 2008-11-30 |
| AOS415 | CHENG Kin Kiu | 鄭健翹 | RE | Advising on Securities | 2007-03-26 | 2008-11-30 |
| AOS415 | CHENG Kin Kiu | 鄭健翹 | RE | Asset Management | 2007-03-26 | 2008-11-30 |
| AOT501 | FAN Lili | 范莉莉 | RE | Advising on Securities | 2014-05-07 | 2017-10-31 |
| AOT501 | FAN Lili | 范莉莉 | RE | Asset Management | 2014-05-07 | 2017-10-31 |
| AOV656 | CHAN Wing Sze, Vanessa | 陳永詩 | RE | Dealing in Securities | 2017-09-19 | |
| AOV656 | CHAN Wing Sze, Vanessa | 陳永詩 | RE | Advising on Securities | 2017-09-19 | |
| AOV656 | CHAN Wing Sze, Vanessa | 陳永詩 | RE | Asset Management | 2017-09-19 | |
| AOX144 | SPREADBURY Ian Francis | RE | Dealing in Securities | 2007-05-14 | 2007-05-16 | |
| AOX145 | LANK Harley Jay | RE | Dealing in Securities | 2007-05-14 | 2015-12-17 | |
| AOX146 | GETTER Christopher | RE | Dealing in Securities | 2007-05-14 | 2007-09-20 | |
| AOY119 | WONG Chi Leung | 黃子亮 | RE | Dealing in Securities | 2014-12-09 | |
| AOY119 | WONG Chi Leung | 黃子亮 | RE | Advising on Securities | 2014-12-09 | |
| AOY188 | KIM Nayoung | RE | Advising on Securities | 2007-05-22 | 2007-08-18 | |
| AOY188 | KIM Nayoung | RE | Asset Management | 2007-05-22 | 2007-08-18 | |
| AOY331 | WONG Ka Shing | 黃嘉誠 | RE | Dealing in Securities | 2009-01-07 | |
| AOY331 | WONG Ka Shing | 黃嘉誠 | RE | Advising on Securities | 2017-02-17 | |
| AOY331 | WONG Ka Shing | 黃嘉誠 | RE | Asset Management | 2007-05-25 | |
| AOY505 | LAM Chi Ping | 林治平 | RE | Dealing in Securities | 2007-11-05 | 2008-10-09 |
| AOY505 | LAM Chi Ping | 林治平 | RE | Advising on Securities | 2007-11-05 | 2008-10-09 |
| AOY505 | LAM Chi Ping | 林治平 | RE | Asset Management | 2007-11-05 | 2008-10-09 |
| AOY752 | GRIFFITH Travis Lee | RE | Dealing in Securities | 2007-05-28 | ||
| AOY752 | GRIFFITH Travis Lee | RE | Asset Management | 2007-05-28 | ||
| AOY807 | LIU Lu | 劉璐 | RE | Advising on Securities | 2007-05-25 | 2007-08-18 |
| AOY807 | LIU Lu | 劉璐 | RE | Advising on Securities | 2008-08-15 | 2014-05-07 |
| AOY807 | LIU Lu | 劉璐 | RE | Asset Management | 2007-05-25 | 2007-08-18 |
| AOY807 | LIU Lu | 劉璐 | RE | Asset Management | 2008-08-15 | 2014-05-07 |
| APA665 | CARNEY Jeffrey Robert | RE | Dealing in Securities | 2007-05-31 | 2007-08-30 | |
| APA939 | XIE Jing | 謝婧 | RE | Advising on Securities | 2007-06-04 | 2011-01-21 |
| APA939 | XIE Jing | 謝婧 | RE | Asset Management | 2007-06-04 | 2011-01-21 |
| APB204 | MURAMATSU Yuka | RE | Dealing in Securities | 2007-06-04 | 2010-02-22 | |
| APB204 | MURAMATSU Yuka | RE | Asset Management | 2007-06-04 | 2010-02-22 | |
| APB213 | YOSHIKAWA KANAE | 吉川佳苗 | RE | Dealing in Securities | 2007-06-04 | 2015-03-30 |
| APB213 | YOSHIKAWA KANAE | 吉川佳苗 | RE | Asset Management | 2007-06-04 | 2015-03-30 |
| APB398 | NING Jing | 宁靜 | RE | Advising on Securities | 2013-09-27 | |
| APB398 | NING Jing | 宁靜 | RE | Asset Management | 2013-09-27 | |
| APB472 | KAWAMOTO Rick Mitsuru | RE | Dealing in Securities | 2007-06-08 | 2008-01-31 | |
| APB472 | KAWAMOTO Rick Mitsuru | RE | Asset Management | 2007-06-08 | 2008-01-31 | |
| APB475 | MATSUZAKI Akio | RE | Dealing in Securities | 2007-06-08 | 2007-12-14 | |
| APB475 | MATSUZAKI Akio | RE | Dealing in Securities | 2008-02-11 | 2014-06-09 | |
| APB475 | MATSUZAKI Akio | RE | Asset Management | 2007-06-08 | 2007-12-14 | |
| APB475 | MATSUZAKI Akio | RE | Asset Management | 2008-02-11 | 2014-06-09 | |
| APC110 | DUNN Thomas Egan | RE | Dealing in Securities | 2007-06-14 | 2007-12-14 | |
| APC110 | DUNN Thomas Egan | RE | Asset Management | 2007-06-14 | 2007-12-14 | |
| APC578 | AGUILAR Eddie Hugh | RE | Dealing in Securities | 2007-06-18 | 2013-04-12 | |
| APC578 | AGUILAR Eddie Hugh | RE | Asset Management | 2007-06-18 | 2013-04-12 | |
| APC643 | CHEN Huilin | 陳輝林 | RE | Dealing in Securities | 2012-11-05 | 2015-04-10 |
| APC643 | CHEN Huilin | 陳輝林 | RE | Advising on Securities | 2012-11-05 | 2015-04-10 |
| APD518 | GREETHAM Trevor Michael Anthony | RE | Dealing in Securities | 2007-07-03 | 2015-02-02 | |
| APE923 | HARRIS Martin Joseph | RE | Dealing in Securities | 2007-07-03 | 2007-08-03 | |
| APF744 | CHEN Yi-Ru | 陳怡如 | RE | Dealing in Securities | 2007-07-12 | |
| APF744 | CHEN Yi-Ru | 陳怡如 | RE | Asset Management | 2007-07-12 | |
| APF754 | LAU Wai Tat, Victor | 劉偉達 | RE | Dealing in Securities | 2007-07-11 | 2008-07-29 |
| APF952 | SHU Yu | 周遊 | RE | Advising on Securities | 2011-05-03 | 2012-09-28 |
| APF952 | SHU Yu | 周遊 | RE | Asset Management | 2011-05-03 | 2012-09-28 |
| APG375 | MITCHELL David C | RE | Dealing in Securities | 2007-08-20 | 2009-01-01 | |
| APG474 | CHAN Yi | 朱繹 | RE | Dealing in Securities | 2010-06-18 | 2014-04-27 |
| APG474 | CHAN Yi | 朱繹 | RE | Dealing in Securities | 2016-06-13 | 2017-01-20 |
| APG474 | CHAN Yi | 朱繹 | RE | Advising on Securities | 2010-06-18 | 2014-04-27 |
| APG474 | CHAN Yi | 朱繹 | RE | Advising on Securities | 2016-06-13 | 2017-01-20 |
| APG474 | CHAN Yi | 朱繹 | RE | Asset Management | 2010-06-18 | 2014-04-27 |
| APG595 | LIN Ting-Hsuan | 林庭璿 | RE | Dealing in Securities | 2007-08-20 | 2009-02-13 |
| APG595 | LIN Ting-Hsuan | 林庭璿 | RE | Advising on Securities | 2007-08-20 | 2009-02-13 |
| APG595 | LIN Ting-Hsuan | 林庭璿 | RE | Asset Management | 2007-08-20 | 2009-02-13 |
| APH111 | MUKHERJEE Suranjan | RE | Dealing in Securities | 2016-10-03 | ||
| APH111 | MUKHERJEE Suranjan | RE | Advising on Securities | 2007-07-20 | 2009-04-02 | |
| APH111 | MUKHERJEE Suranjan | RE | Asset Management | 2007-07-20 | 2009-04-02 | |
| APJ328 | KHONG Seow Ting | 鄺曉婷 | RE | Dealing in Securities | 2007-08-01 | 2012-11-30 |
| APJ328 | KHONG Seow Ting | 鄺曉婷 | RE | Advising on Securities | 2011-03-10 | 2012-11-30 |
| APJ328 | KHONG Seow Ting | 鄺曉婷 | RE | Asset Management | 2007-08-01 | 2012-11-30 |
| APJ329 | CHAN Hon Kai | 陳漢佳 | RE | Dealing in Securities | 2007-08-01 | 2013-08-09 |
| APJ329 | CHAN Hon Kai | 陳漢佳 | RE | Asset Management | 2007-08-01 | 2013-08-09 |
| APJ466 | LAW Suk Lam | 羅淑嵐 | RE | Dealing in Securities | 2017-09-12 | |
| APK030 | LIU Yifei | 劉憶霏 | RE | Dealing in Securities | 2007-08-13 | 2014-06-19 |
| APK030 | LIU Yifei | 劉憶霏 | RE | Advising on Securities | 2007-08-13 | 2014-06-19 |
| APK030 | LIU Yifei | 劉憶霏 | RE | Asset Management | 2007-08-13 | 2014-06-19 |
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