Hong Kong SFC licence institution AAI117, Halbis Capital Management (Hong Kong) Limited

These are the licence-holders that were found for SFC licence institution AAI117 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAC683 PICKERELL Blair Chilton RO Dealing in Securities 2003-07-22 2004-08-30
AAE939 LAU Chung Hing, Sammy 劉頌興 RE Advising on Securities 2005-07-15 2005-10-24
AAE939 LAU Chung Hing, Sammy 劉頌興 RE Asset Management 2005-07-15 2005-10-24
AAJ072 EBRAHIM Ayaz Hatim RE Dealing in Securities 2007-06-01 2007-07-27
AAJ072 EBRAHIM Ayaz Hatim RO Dealing in Securities 2003-04-01 2004-08-30
AAJ072 EBRAHIM Ayaz Hatim RO Dealing in Securities 2005-06-23 2006-07-25
AAJ072 EBRAHIM Ayaz Hatim RO Dealing in Securities 2007-07-27 2011-05-13
AAJ072 EBRAHIM Ayaz Hatim RO Dealing in Futures Contracts 2008-04-01 2011-05-13
AAJ072 EBRAHIM Ayaz Hatim RE Advising on Securities 2007-06-01 2007-07-27
AAJ072 EBRAHIM Ayaz Hatim RO Advising on Securities 2003-04-01 2003-06-02
AAJ072 EBRAHIM Ayaz Hatim RO Advising on Securities 2005-06-23 2006-07-25
AAJ072 EBRAHIM Ayaz Hatim RO Advising on Securities 2007-07-27 2011-05-13
AAJ072 EBRAHIM Ayaz Hatim RO Advising on Futures Contracts 2005-06-23 2006-07-25
AAJ072 EBRAHIM Ayaz Hatim RO Advising on Futures Contracts 2007-07-27 2011-05-13
AAJ072 EBRAHIM Ayaz Hatim RO Advising on Corporate Finance 2003-04-01 2003-06-02
AAJ072 EBRAHIM Ayaz Hatim RE Asset Management 2007-06-01 2007-07-27
AAJ072 EBRAHIM Ayaz Hatim RO Asset Management 2003-04-01 2003-06-02
AAJ072 EBRAHIM Ayaz Hatim RO Asset Management 2005-06-23 2006-07-25
AAJ072 EBRAHIM Ayaz Hatim RO Asset Management 2007-07-27 2011-05-13
AAK403 MOK Wan Yu, Philip 莫韻餘 RO Dealing in Securities 2006-01-23 2011-12-31
AAK403 MOK Wan Yu, Philip 莫韻餘 RE Advising on Securities 2005-07-15 2006-01-23
AAK403 MOK Wan Yu, Philip 莫韻餘 RO Advising on Securities 2006-01-23 2011-12-31
AAK403 MOK Wan Yu, Philip 莫韻餘 RE Advising on Futures Contracts 2006-01-23 2011-06-02
AAK403 MOK Wan Yu, Philip 莫韻餘 RO Advising on Futures Contracts 2011-06-02 2011-12-31
AAK403 MOK Wan Yu, Philip 莫韻餘 RE Asset Management 2005-07-15 2007-03-09
AAK403 MOK Wan Yu, Philip 莫韻餘 RO Asset Management 2007-03-09 2011-12-31
ABL820 AU King Lun 區景麟 RO Dealing in Securities 2003-04-01 2004-08-30
ABL820 AU King Lun 區景麟 RO Dealing in Securities 2006-07-11 2008-08-01
ABL820 AU King Lun 區景麟 RO Advising on Securities 2003-04-01 2004-05-07
ABL820 AU King Lun 區景麟 RO Advising on Securities 2006-07-11 2008-08-01
ABL820 AU King Lun 區景麟 RO Advising on Futures Contracts 2006-07-11 2008-08-01
ABL820 AU King Lun 區景麟 RO Advising on Corporate Finance 2003-04-01 2004-05-07
ABL820 AU King Lun 區景麟 RO Asset Management 2003-04-01 2004-05-07
ABL820 AU King Lun 區景麟 RO Asset Management 2006-07-11 2008-08-01
ABP922 WONG Chi Lung, Richard 黃子驊 RE Advising on Securities 2005-07-15 2011-01-28
ABP922 WONG Chi Lung, Richard 黃子驊 RE Asset Management 2005-07-15 2011-01-28
ABV188 LEE Yuen Man, Sandra 李婉雯 RE Dealing in Securities 2003-04-01 2004-05-11
ABV188 LEE Yuen Man, Sandra 李婉雯 RO Dealing in Securities 2004-05-11 2004-08-30
ABV188 LEE Yuen Man, Sandra 李婉雯 RE Advising on Securities 2003-04-01 2004-05-07
ABV188 LEE Yuen Man, Sandra 李婉雯 RE Advising on Corporate Finance 2003-04-01 2004-05-07
ABV188 LEE Yuen Man, Sandra 李婉雯 RE Asset Management 2003-04-01 2004-05-07
ACA339 HSIEH Yuk Chun 佘玉真 RE Dealing in Securities 2003-04-01 2004-08-30
ACA339 HSIEH Yuk Chun 佘玉真 RE Dealing in Securities 2005-07-15 2007-03-20
ACA339 HSIEH Yuk Chun 佘玉真 RO Dealing in Securities 2007-03-20 2011-06-22
ACA339 HSIEH Yuk Chun 佘玉真 RE Dealing in Futures Contracts 2008-05-08 2011-06-02
ACA339 HSIEH Yuk Chun 佘玉真 RO Dealing in Futures Contracts 2011-06-02 2011-06-22
ACA339 HSIEH Yuk Chun 佘玉真 RE Advising on Securities 2003-04-01 2004-02-16
ACA339 HSIEH Yuk Chun 佘玉真 RE Advising on Securities 2005-07-15 2007-03-20
ACA339 HSIEH Yuk Chun 佘玉真 RO Advising on Securities 2007-03-20 2011-06-22
ACA339 HSIEH Yuk Chun 佘玉真 RE Advising on Corporate Finance 2003-04-01 2004-02-16
ACA339 HSIEH Yuk Chun 佘玉真 RE Asset Management 2003-04-01 2004-02-16
ACA339 HSIEH Yuk Chun 佘玉真 RE Asset Management 2005-07-15 2007-03-20
ACA339 HSIEH Yuk Chun 佘玉真 RO Asset Management 2007-03-20 2011-06-22
ACC235 LAM Sai Ki, Leilani 林世淇 RE Advising on Securities 2005-07-15 2011-12-12
ACC235 LAM Sai Ki, Leilani 林世淇 RE Asset Management 2005-07-15 2011-12-12
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Dealing in Securities 2003-04-01 2004-08-30
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Dealing in Securities 2005-07-15 2006-03-10
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RO Dealing in Securities 2006-03-10 2011-12-31
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RO Dealing in Futures Contracts 2008-04-01 2011-12-31
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Advising on Securities 2003-04-01 2004-02-16
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Advising on Securities 2005-07-15 2006-03-10
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RO Advising on Securities 2006-03-10 2011-12-31
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RO Advising on Futures Contracts 2007-10-11 2011-12-31
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Advising on Corporate Finance 2003-04-01 2004-02-16
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Asset Management 2003-04-01 2004-02-16
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RE Asset Management 2005-07-15 2006-03-10
ACD290 CHAN Po Chi, Cecilia 陳寶枝 RO Asset Management 2006-03-10 2011-12-31
ACI867 LAI Siu Yan 賴少忍 RE Dealing in Securities 2003-04-01 2004-08-30
ACI867 LAI Siu Yan 賴少忍 RE Dealing in Securities 2005-07-15 2011-12-31
ACI867 LAI Siu Yan 賴少忍 RE Dealing in Futures Contracts 2008-04-29 2011-12-31
ACI867 LAI Siu Yan 賴少忍 RE Advising on Securities 2003-04-01 2004-02-16
ACI867 LAI Siu Yan 賴少忍 RE Advising on Securities 2005-07-15 2011-12-31
ACI867 LAI Siu Yan 賴少忍 RE Advising on Corporate Finance 2003-04-01 2004-02-16
ACI867 LAI Siu Yan 賴少忍 RE Asset Management 2003-04-01 2004-02-16
ACI867 LAI Siu Yan 賴少忍 RE Asset Management 2005-07-15 2011-12-31
ACL451 NG Kwok Hung 吳國雄 RE Dealing in Securities 2003-04-01 2004-08-30
ACL451 NG Kwok Hung 吳國雄 RE Dealing in Securities 2005-07-15 2011-06-22
ACL451 NG Kwok Hung 吳國雄 RE Dealing in Futures Contracts 2008-04-29 2011-06-22
ACL451 NG Kwok Hung 吳國雄 RE Advising on Securities 2003-04-01 2004-02-16
ACL451 NG Kwok Hung 吳國雄 RE Advising on Securities 2005-07-15 2011-06-22
ACL451 NG Kwok Hung 吳國雄 RE Advising on Corporate Finance 2003-04-01 2004-02-16
ACL451 NG Kwok Hung 吳國雄 RE Asset Management 2003-04-01 2004-02-16
ACL451 NG Kwok Hung 吳國雄 RE Asset Management 2005-07-15 2011-06-22
ACL453 YIP Sze Ki 葉士奇 RO Dealing in Securities 2011-06-09 2011-12-31
ACL453 YIP Sze Ki 葉士奇 RO Advising on Securities 2011-06-09 2011-12-31
ACL453 YIP Sze Ki 葉士奇 RO Advising on Futures Contracts 2011-06-09 2011-12-31
ACL453 YIP Sze Ki 葉士奇 RO Asset Management 2011-06-09 2011-12-31
ACR483 FUNG Ka Wai, Elina 馮家慧 RE Dealing in Securities 2007-10-30 2011-12-31
ACR483 FUNG Ka Wai, Elina 馮家慧 RE Advising on Securities 2007-10-30 2011-12-31
ACR483 FUNG Ka Wai, Elina 馮家慧 RE Asset Management 2007-10-30 2011-12-31
ACR544 PAI Husan 白浩森 RO Dealing in Securities 2006-01-18 2011-12-31
ACR544 PAI Husan 白浩森 RE Advising on Securities 2005-07-15 2006-01-18
ACR544 PAI Husan 白浩森 RO Advising on Securities 2006-01-18 2011-12-31
ACR544 PAI Husan 白浩森 RE Advising on Futures Contracts 2006-01-18 2011-06-07
ACR544 PAI Husan 白浩森 RO Advising on Futures Contracts 2011-06-07 2011-12-31
ACR544 PAI Husan 白浩森 RE Asset Management 2005-07-15 2006-01-18
ACR544 PAI Husan 白浩森 RO Asset Management 2006-01-18 2011-12-31
ACR958 LEUNG Wing Che, Andrew 梁穎致 RE Dealing in Securities 2003-04-01 2004-05-06
ACR958 LEUNG Wing Che, Andrew 梁穎致 RE Advising on Securities 2003-04-01 2004-05-06
ACR958 LEUNG Wing Che, Andrew 梁穎致 RE Advising on Corporate Finance 2003-04-01 2004-05-06
ACR958 LEUNG Wing Che, Andrew 梁穎致 RE Asset Management 2003-04-01 2004-05-06
ADI436 KANG Mi Jung RE Advising on Securities 2005-07-15 2011-12-31
ADI436 KANG Mi Jung RE Asset Management 2005-07-15 2011-12-31
ADL512 CHANG Tat Sean 鄭達成 RO Dealing in Securities 2007-11-20 2011-12-31
ADL512 CHANG Tat Sean 鄭達成 RE Advising on Securities 2007-09-11 2007-11-20
ADL512 CHANG Tat Sean 鄭達成 RO Advising on Securities 2007-11-20 2011-12-31
ADL512 CHANG Tat Sean 鄭達成 RE Asset Management 2007-09-11 2007-11-20
ADL512 CHANG Tat Sean 鄭達成 RO Asset Management 2007-11-20 2011-12-31
ADS047 MUI Lap Chung, Alfred 梅立中 RE Dealing in Securities 2003-04-01 2004-08-30
ADS047 MUI Lap Chung, Alfred 梅立中 RE Dealing in Securities 2005-07-15 2007-03-23
ADS047 MUI Lap Chung, Alfred 梅立中 RE Dealing in Securities 2010-06-25 2011-12-31
ADS047 MUI Lap Chung, Alfred 梅立中 RE Advising on Securities 2003-04-01 2004-02-16
ADS047 MUI Lap Chung, Alfred 梅立中 RE Advising on Securities 2005-07-15 2007-03-23
ADS047 MUI Lap Chung, Alfred 梅立中 RE Advising on Securities 2010-06-25 2011-12-31
ADS047 MUI Lap Chung, Alfred 梅立中 RE Advising on Corporate Finance 2003-04-01 2004-02-16
ADS047 MUI Lap Chung, Alfred 梅立中 RE Asset Management 2003-04-01 2004-02-16
ADS047 MUI Lap Chung, Alfred 梅立中 RE Asset Management 2005-07-15 2007-03-23
ADS047 MUI Lap Chung, Alfred 梅立中 RE Asset Management 2010-06-25 2011-12-31
ADX752 CHOW Man Yiu, Paul 周文耀 RO Dealing in Securities 2003-04-01 2003-04-30
ADX752 CHOW Man Yiu, Paul 周文耀 RO Advising on Securities 2003-04-01 2003-04-30
ADX752 CHOW Man Yiu, Paul 周文耀 RO Advising on Corporate Finance 2003-04-01 2003-04-30
ADX752 CHOW Man Yiu, Paul 周文耀 RO Asset Management 2003-04-01 2003-04-30
AED561 GOLDFELD Leon RE Dealing in Securities 2004-07-20 2004-08-30
AED561 GOLDFELD Leon RO Dealing in Securities 2005-06-23 2010-06-18
AED561 GOLDFELD Leon RO Advising on Securities 2005-06-23 2010-06-18
AED561 GOLDFELD Leon RO Advising on Futures Contracts 2005-06-23 2010-06-18
AED561 GOLDFELD Leon RO Asset Management 2005-06-23 2010-06-18
AEI384 KAM Stephen Cheuk Hang 甘卓亨 RE Advising on Securities 2005-08-08 2007-03-20
AEI384 KAM Stephen Cheuk Hang 甘卓亨 RE Advising on Futures Contracts 2005-08-08 2007-03-20
AEI384 KAM Stephen Cheuk Hang 甘卓亨 RE Asset Management 2005-08-08 2007-03-20
AEQ948 MAK Ka Yee 麥家儀 RE Advising on Securities 2005-07-15 2008-07-31
AEQ948 MAK Ka Yee 麥家儀 RE Asset Management 2005-07-15 2008-07-31
AEU334 CHUNG Francis Chuan-pu 叢川普 RE Advising on Securities 2007-09-04 2011-12-31
AEU334 CHUNG Francis Chuan-pu 叢川普 RE Asset Management 2007-09-04 2011-12-31
AEW048 NGAI Lai Wah 倪麗華 RE Dealing in Securities 2003-04-01 2004-08-30
AEW048 NGAI Lai Wah 倪麗華 RE Dealing in Securities 2005-07-15 2008-06-30
AEW048 NGAI Lai Wah 倪麗華 RE Advising on Securities 2003-04-01 2004-02-16
AEW048 NGAI Lai Wah 倪麗華 RE Advising on Securities 2005-07-15 2008-06-30
AEW048 NGAI Lai Wah 倪麗華 RE Advising on Corporate Finance 2003-04-01 2004-02-16
AEW048 NGAI Lai Wah 倪麗華 RE Asset Management 2003-04-01 2004-02-16
AEW048 NGAI Lai Wah 倪麗華 RE Asset Management 2005-07-15 2008-06-30
AEX263 WONG Ngar Men, Amelia 黃雅雯 RE Advising on Securities 2005-07-15 2007-10-05
AEX263 WONG Ngar Men, Amelia 黃雅雯 RE Asset Management 2005-07-15 2007-10-05
AFC448 KWONG Wing Man 鄺穎文 RE Dealing in Securities 2003-05-19 2004-08-30
AFC448 KWONG Wing Man 鄺穎文 RE Dealing in Securities 2005-07-15 2007-09-14
AFC448 KWONG Wing Man 鄺穎文 RE Advising on Securities 2005-07-15 2007-09-14
AFC448 KWONG Wing Man 鄺穎文 RE Asset Management 2005-07-15 2007-09-14
AFN688 TSANG Sze Wai, Karen 曾思慧 RE Dealing in Securities 2008-09-17 2011-12-31
AFN688 TSANG Sze Wai, Karen 曾思慧 RE Advising on Securities 2005-07-15 2011-12-31
AFN688 TSANG Sze Wai, Karen 曾思慧 RE Asset Management 2005-07-15 2011-12-31
AFO918 TSANG Sin Man 曾倩雯 RE Dealing in Securities 2003-04-01 2004-08-30
AFO918 TSANG Sin Man 曾倩雯 RE Dealing in Securities 2005-07-15 2010-05-31
AFO918 TSANG Sin Man 曾倩雯 RE Advising on Securities 2003-04-01 2004-02-16
AFO918 TSANG Sin Man 曾倩雯 RE Advising on Securities 2005-07-15 2010-05-31
AFO918 TSANG Sin Man 曾倩雯 RE Advising on Corporate Finance 2003-04-01 2004-02-16
AFO918 TSANG Sin Man 曾倩雯 RE Asset Management 2003-04-01 2004-02-16
AFO918 TSANG Sin Man 曾倩雯 RE Asset Management 2005-07-15 2010-05-31
AFP239 LEE Shu Yan, Andrew 李樹仁 RO Dealing in Securities 2007-03-08 2011-08-24
AFP239 LEE Shu Yan, Andrew 李樹仁 RO Dealing in Futures Contracts 2008-04-01 2011-08-24
AFP239 LEE Shu Yan, Andrew 李樹仁 RE Advising on Securities 2005-07-15 2007-03-08
AFP239 LEE Shu Yan, Andrew 李樹仁 RO Advising on Securities 2007-03-08 2011-08-24
AFP239 LEE Shu Yan, Andrew 李樹仁 RO Advising on Futures Contracts 2007-03-08 2011-08-24
AFP239 LEE Shu Yan, Andrew 李樹仁 RE Asset Management 2005-07-15 2007-03-08
AFP239 LEE Shu Yan, Andrew 李樹仁 RO Asset Management 2007-03-08 2011-08-24
AFS654 MALDONADO-CODINA Guillermo Eduardo RO Dealing in Securities 2011-09-19 2011-12-31
AFS654 MALDONADO-CODINA Guillermo Eduardo RO Advising on Futures Contracts 2011-09-19 2011-12-31
AFS654 MALDONADO-CODINA Guillermo Eduardo RO Asset Management 2011-09-19 2011-12-31
AFT975 CHAN Suk Man 陳淑敏 RE Dealing in Securities 2009-12-09 2011-12-31
AFT975 CHAN Suk Man 陳淑敏 RE Advising on Securities 2009-12-09 2011-12-31
AFT975 CHAN Suk Man 陳淑敏 RE Advising on Futures Contracts 2009-12-09 2011-12-31
AFT975 CHAN Suk Man 陳淑敏 RE Asset Management 2009-12-09 2011-12-31
AFU955 ROBINSON Charles Paul RE Dealing in Securities 2010-03-26 2010-04-08
AFU955 ROBINSON Charles Paul RE Dealing in Securities 2011-06-16 2011-06-30
AGD018 ALLEN Elizabeth Anne 林安妮 RE Dealing in Securities 2011-10-27 2011-12-31
AGD018 ALLEN Elizabeth Anne 林安妮 RE Advising on Securities 2011-10-27 2011-12-31
AGD018 ALLEN Elizabeth Anne 林安妮 RE Asset Management 2011-10-27 2011-12-31
AGF478 WONG Wen Mee, Joyce 王穎薇 RE Asset Management 2007-05-30 2009-12-14
AGI659 LEE Hubert Wai Hon 李威漢 RE Advising on Securities 2006-04-11 2011-12-31
AGI659 LEE Hubert Wai Hon 李威漢 RE Asset Management 2006-04-21 2011-12-31
AGO031 MUNG Wing Kee 蒙榮基 RE Dealing in Securities 2003-04-01 2004-08-30
AGO031 MUNG Wing Kee 蒙榮基 RE Dealing in Securities 2005-07-15 2011-12-31
AGO031 MUNG Wing Kee 蒙榮基 RE Dealing in Futures Contracts 2008-05-02 2011-12-31
AGO031 MUNG Wing Kee 蒙榮基 RE Advising on Securities 2003-04-01 2004-02-16
AGO031 MUNG Wing Kee 蒙榮基 RE Advising on Securities 2005-07-15 2011-12-31
AGO031 MUNG Wing Kee 蒙榮基 RE Advising on Corporate Finance 2003-04-01 2004-02-16
AGO031 MUNG Wing Kee 蒙榮基 RE Asset Management 2003-04-01 2004-02-16
AGO031 MUNG Wing Kee 蒙榮基 RE Asset Management 2005-07-15 2011-12-31
AHL492 WONG Ka Yau 黃嘉佑 RE Advising on Securities 2011-06-27 2011-12-31
AHL492 WONG Ka Yau 黃嘉佑 RE Asset Management 2011-06-27 2011-12-31
AIC643 WONG Leung Hang, Simpson 黃良恆 RE Advising on Securities 2005-07-15 2007-04-25
AIC643 WONG Leung Hang, Simpson 黃良恆 RE Asset Management 2005-07-15 2007-04-25
AIN693 FUNG Honyu 馮漢宇 RE Dealing in Securities 2003-04-01 2004-08-30
AIN693 FUNG Honyu 馮漢宇 RE Dealing in Securities 2005-07-15 2011-12-31
AIN693 FUNG Honyu 馮漢宇 RE Advising on Securities 2003-04-01 2004-02-16
AIN693 FUNG Honyu 馮漢宇 RE Advising on Securities 2005-07-15 2011-12-31
AIN693 FUNG Honyu 馮漢宇 RE Advising on Corporate Finance 2003-04-01 2004-02-16
AIN693 FUNG Honyu 馮漢宇 RE Asset Management 2003-04-01 2004-02-16
AIN693 FUNG Honyu 馮漢宇 RE Asset Management 2005-07-15 2011-12-31
AIO550 CHENG Tat Cheong, Peter 鄭達昌 RE Dealing in Securities 2004-08-14 2004-08-30
AIO550 CHENG Tat Cheong, Peter 鄭達昌 RE Dealing in Securities 2005-07-15 2005-10-31
AIO550 CHENG Tat Cheong, Peter 鄭達昌 RE Advising on Securities 2005-07-15 2005-10-31
AIO550 CHENG Tat Cheong, Peter 鄭達昌 RE Asset Management 2005-07-15 2005-10-31
AJE409 LAI Wing Keung 賴永強 RE Advising on Securities 2005-07-15 2006-10-20
AJE409 LAI Wing Keung 賴永強 RE Asset Management 2005-07-15 2006-10-20
AJH022 CHAN Debbie Ka Yee 陳嘉怡 RE Advising on Securities 2007-09-13 2011-12-31
AJH022 CHAN Debbie Ka Yee 陳嘉怡 RE Asset Management 2007-09-13 2011-12-31
AJN966 ZHONG Shan 鍾山 RE Dealing in Securities 2005-09-07 2005-09-07
AJN966 ZHONG Shan 鍾山 RE Advising on Securities 2005-09-07 2011-05-17
AJN966 ZHONG Shan 鍾山 RE Asset Management 2005-09-09 2011-05-17
AJO301 RENONCOURT Julien RE Dealing in Securities 2010-05-28 2010-06-10
AJO301 RENONCOURT Julien RE Dealing in Securities 2011-06-02 2011-06-16
ALF525 LI Chi Yan, Cecil 李志仁 RE Dealing in Securities 2007-07-26 2011-12-31
ALF525 LI Chi Yan, Cecil 李志仁 RE Advising on Securities 2005-07-15 2011-12-31
ALF525 LI Chi Yan, Cecil 李志仁 RE Asset Management 2005-07-15 2011-12-31
ALI171 SUEN Lok Hang, Gregory 孫樂衡 RE Dealing in Securities 2007-12-18 2011-12-31
ALI171 SUEN Lok Hang, Gregory 孫樂衡 RE Advising on Securities 2007-12-18 2011-12-31
ALI171 SUEN Lok Hang, Gregory 孫樂衡 RE Asset Management 2007-12-03 2011-12-31
ALI742 SERIES Kerry David RE Dealing in Securities 2006-01-10 2006-09-15
ALI742 SERIES Kerry David RE Advising on Securities 2005-07-15 2006-09-15
ALI742 SERIES Kerry David RE Advising on Futures Contracts 2006-01-10 2006-09-15
ALI742 SERIES Kerry David RE Asset Management 2005-07-15 2006-09-15
ALN045 LEUNG Lap Wai 梁立偉 RE Dealing in Securities 2007-07-26 2011-06-30
ALN045 LEUNG Lap Wai 梁立偉 RE Advising on Securities 2005-07-15 2011-06-30
ALN045 LEUNG Lap Wai 梁立偉 RE Asset Management 2005-07-15 2011-06-30
ALZ469 TIMBERLAKE Nicholas Richard William RE Dealing in Securities 2010-01-08 2010-01-21
ALZ927 TUCKER Robert Denis RE Advising on Securities 2005-07-15 2010-03-20
ALZ927 TUCKER Robert Denis RE Asset Management 2005-07-15 2010-03-20
AME143 MOK Nga Bong, Bosco 莫雅邦 RE Dealing in Securities 2007-06-18 2011-12-31
AME143 MOK Nga Bong, Bosco 莫雅邦 RE Dealing in Futures Contracts 2008-05-05 2011-12-31
AME143 MOK Nga Bong, Bosco 莫雅邦 RE Advising on Securities 2007-06-18 2011-12-31
AME143 MOK Nga Bong, Bosco 莫雅邦 RE Asset Management 2007-06-18 2011-12-31
AMH572 YUAN Joy Fangyue 袁方悅 RE Advising on Securities 2011-02-15 2011-12-31
AMH572 YUAN Joy Fangyue 袁方悅 RE Advising on Futures Contracts 2011-02-15 2011-12-31
AMH572 YUAN Joy Fangyue 袁方悅 RE Asset Management 2011-02-15 2011-12-31
AMH681 KO Wai Man 高偉文 RE Dealing in Securities 2007-07-26 2011-12-31
AMH681 KO Wai Man 高偉文 RE Advising on Securities 2005-07-29 2011-12-31
AMH681 KO Wai Man 高偉文 RE Asset Management 2005-07-29 2011-12-31
AMN727 LEE Mathew Shih Hao 利仕豪 RE Advising on Securities 2006-10-19 2011-12-31
AMN727 LEE Mathew Shih Hao 利仕豪 RE Asset Management 2006-10-19 2011-12-31
ANB909 CRIVELLI Patrick Marcel RE Advising on Securities 2006-02-28 2011-12-31
ANB909 CRIVELLI Patrick Marcel RE Asset Management 2006-02-28 2011-12-31
ANG437 NOWPARAST Behzad Reza RE Dealing in Securities 2006-04-10 2007-05-31
ANG437 NOWPARAST Behzad Reza RE Advising on Securities 2006-04-10 2007-05-31
ANG437 NOWPARAST Behzad Reza RE Asset Management 2006-04-10 2007-05-31
ANH268 HO Pui Yee, Emily 何佩怡 RE Advising on Securities 2006-04-18 2006-09-15
ANH268 HO Pui Yee, Emily 何佩怡 RE Asset Management 2006-04-18 2006-09-15
ANT280 CHEUK Siu Yuen, Ferdinand 卓兆源 RE Dealing in Securities 2011-03-24 2011-12-31
ANT280 CHEUK Siu Yuen, Ferdinand 卓兆源 RE Advising on Securities 2011-03-24 2011-12-31
ANT280 CHEUK Siu Yuen, Ferdinand 卓兆源 RE Asset Management 2011-03-24 2011-12-31
ANT656 ADAMS Christopher Richard RE Dealing in Securities 2011-10-20 2011-12-31
ANT656 ADAMS Christopher Richard RE Advising on Securities 2011-10-20 2011-12-31
ANT656 ADAMS Christopher Richard RE Asset Management 2011-10-20 2011-12-31
ANW214 CHEUNG Michelle Wei Sze 張慧詩 RE Advising on Securities 2006-09-01 2008-09-30
ANW214 CHEUNG Michelle Wei Sze 張慧詩 RE Asset Management 2006-09-01 2008-09-30
AOC912 LEE Euisup 李宜燮 RE Advising on Securities 2006-11-01 2007-11-27
AOC912 LEE Euisup 李宜燮 RE Asset Management 2006-11-01 2007-11-27
AOT458 CHAN Oi Wan 陳靄雲 RE Advising on Securities 2007-08-02 2011-12-31
AOT458 CHAN Oi Wan 陳靄雲 RE Asset Management 2007-08-02 2011-12-31
AOV704 O'MARA Conor John RE Dealing in Securities 2007-05-04 2008-07-31
AOV704 O'MARA Conor John RE Advising on Securities 2007-05-04 2008-07-31
AOV704 O'MARA Conor John RE Advising on Futures Contracts 2007-05-04 2008-07-31
AOV704 O'MARA Conor John RE Asset Management 2007-05-04 2008-07-31
APW681 DUGGAL Sanjiv RE Dealing in Securities 2009-08-31 2009-10-31
APW681 DUGGAL Sanjiv RE Dealing in Securities 2010-09-07 2010-09-21
AQA565 NIU Yien-Li 牛延莉 RE Dealing in Securities 2011-05-13 2011-12-31
AQA565 NIU Yien-Li 牛延莉 RE Advising on Securities 2011-05-13 2011-12-31
AQA565 NIU Yien-Li 牛延莉 RE Asset Management 2011-05-13 2011-12-31
AQC326 RODRIGUES Gordon Pierre RE Dealing in Securities 2009-04-14 2011-12-31
AQC326 RODRIGUES Gordon Pierre RE Advising on Securities 2009-04-14 2011-12-31
AQC326 RODRIGUES Gordon Pierre RE Asset Management 2009-04-14 2011-12-31
AQM268 GIBB David Thomas RE Dealing in Securities 2009-04-14 2011-12-31
AQM268 GIBB David Thomas RE Advising on Securities 2009-04-14 2011-12-31
AQM268 GIBB David Thomas RE Asset Management 2009-04-14 2011-12-31
AQM760 KWAN Man Chung 關文聰 RE Advising on Securities 2008-02-19 2011-12-31
AQM760 KWAN Man Chung 關文聰 RE Asset Management 2008-02-19 2011-12-31
AQU629 BERTRAND Jean-Charles RE Dealing in Securities 2010-06-23 2010-07-07
AQX377 CHEUNG Sau Ki 張秀琪 RE Dealing in Securities 2009-04-14 2010-06-07
AQX377 CHEUNG Sau Ki 張秀琪 RE Advising on Securities 2009-04-14 2010-06-07
AQX377 CHEUNG Sau Ki 張秀琪 RE Asset Management 2009-04-14 2010-06-07
ARB760 KWOK Danny 郭世傑 RE Dealing in Securities 2011-10-27 2011-12-31
ARB760 KWOK Danny 郭世傑 RE Dealing in Futures Contracts 2011-10-27 2011-12-31
ARB760 KWOK Danny 郭世傑 RE Advising on Securities 2011-10-27 2011-12-31
ARB760 KWOK Danny 郭世傑 RE Asset Management 2011-10-27 2011-12-31
ARF416 HELFER Paul Douglas RE Dealing in Securities 2009-09-28 2009-10-12
ARF416 HELFER Paul Douglas RE Dealing in Securities 2010-03-03 2010-04-02
ARF416 HELFER Paul Douglas RE Dealing in Securities 2010-09-07 2010-09-21
ARI510 ABOUZAHR Sami Julian RE Advising on Securities 2008-07-17 2011-12-31
ARI510 ABOUZAHR Sami Julian RE Asset Management 2008-07-17 2011-12-31
ARI513 MAK Ka Ying 麥嘉盈 RE Dealing in Securities 2008-07-17 2011-12-31
ARI513 MAK Ka Ying 麥嘉盈 RE Advising on Securities 2008-07-17 2011-12-31
ARI513 MAK Ka Ying 麥嘉盈 RE Asset Management 2008-07-17 2011-12-31
ASH964 GOULD Denis James RO Dealing in Securities 2011-10-12 2011-12-31
ASH964 GOULD Denis James RO Dealing in Futures Contracts 2011-10-12 2011-12-31
ASH964 GOULD Denis James RO Advising on Securities 2011-10-12 2011-12-31
ASH964 GOULD Denis James RO Advising on Futures Contracts 2011-10-12 2011-12-31
ASH964 GOULD Denis James RO Asset Management 2011-10-12 2011-12-31
ATV304 BOTELHO BASTOS Pedro Augusto RE Dealing in Securities 2009-09-28 2009-10-12
ATV360 MEHTA Viresh Navnitray RE Dealing in Securities 2009-10-20 2009-11-03
ATV360 MEHTA Viresh Navnitray RE Dealing in Securities 2011-03-14 2011-03-28
ATY073 VENEAU James Christopher RE Dealing in Securities 2011-03-30 2011-12-31
ATY073 VENEAU James Christopher RE Advising on Securities 2009-10-27 2011-12-31
ATY073 VENEAU James Christopher RE Asset Management 2009-10-27 2011-12-31
ATY716 VARINO III George Vincent RE Dealing in Securities 2009-10-22 2009-11-05
AUE037 TIGNARD Laurent Charles RE Dealing in Securities 2009-11-23 2009-12-07
AUE059 LEGUAY Frederic Hubert Francois RE Dealing in Securities 2009-11-23 2009-12-07
AUE059 LEGUAY Frederic Hubert Francois RE Dealing in Securities 2011-04-20 2011-05-04
AUQ036 SWAN Dominic Noel RE Dealing in Securities 2010-01-26 2010-02-25
AUQ758 SIMON Denise Sarah RE Dealing in Securities 2010-02-08 2010-02-19
AUT767 KARNER Marge RE Dealing in Securities 2011-04-07 2011-04-21
AUW071 MUNRO Joanna Mary RE Dealing in Securities 2010-03-09 2010-03-22
AUW826 MEHTA Nilang Jitendra RE Dealing in Securities 2010-03-16 2010-03-29
AUW826 MEHTA Nilang Jitendra RE Dealing in Securities 2010-11-24 2010-12-08
AUZ503 MEGHJI Mohammed Azim RE Dealing in Securities 2010-04-16 2010-04-29
AUZ503 MEGHJI Mohammed Azim RE Dealing in Securities 2011-03-29 2011-04-12
AVC110 BARATON Xavier Francois RE Dealing in Securities 2010-04-27 2010-05-10
AVC110 BARATON Xavier Francois RE Dealing in Securities 2010-11-26 2010-12-10
AVC110 BARATON Xavier Francois RE Dealing in Securities 2011-02-22 2011-03-08
AVC110 BARATON Xavier Francois RE Dealing in Securities 2011-05-11 2011-05-25
AVG427 ARAKAKI Victor Crisol RE Dealing in Securities 2010-05-27 2010-06-09
AVN304 SCHMITT Jean-Francois Andre RE Dealing in Securities 2010-07-27 2010-08-10
AVN307 CHANG Jennifer Ting RE Dealing in Securities 2010-07-21 2011-12-31
AVN307 CHANG Jennifer Ting RE Advising on Securities 2010-07-21 2011-12-31
AVN307 CHANG Jennifer Ting RE Asset Management 2010-07-21 2011-12-31
AVY117 LIU Yawen 劉雅雯 RE Dealing in Securities 2011-11-17 2011-12-31
AVY117 LIU Yawen 劉雅雯 RE Advising on Securities 2010-09-27 2011-12-31
AVY117 LIU Yawen 劉雅雯 RE Asset Management 2010-09-27 2011-12-31
AWK991 DESMADRYL Xavier Alain Jacques RE Dealing in Securities 2010-12-06 2011-12-31
AWK991 DESMADRYL Xavier Alain Jacques RE Advising on Securities 2010-12-06 2011-12-31
AWK991 DESMADRYL Xavier Alain Jacques RE Asset Management 2010-12-06 2011-12-31
AWX602 DILLON Michael Francis RE Dealing in Securities 2011-03-03 2011-12-31
AWX602 DILLON Michael Francis RE Advising on Securities 2011-03-03 2011-12-31
AWX602 DILLON Michael Francis RE Asset Management 2011-03-03 2011-12-31
AWY377 LEVY James Samuel RE Dealing in Securities 2011-03-08 2011-08-17
AWY377 LEVY James Samuel RO Dealing in Securities 2011-08-17 2011-12-31
AWY377 LEVY James Samuel RE Dealing in Futures Contracts 2011-03-08 2011-08-17
AWY377 LEVY James Samuel RO Dealing in Futures Contracts 2011-08-17 2011-12-31
AWY377 LEVY James Samuel RE Advising on Securities 2011-03-08 2011-08-17
AWY377 LEVY James Samuel RO Advising on Securities 2011-08-17 2011-12-31
AWY377 LEVY James Samuel RE Asset Management 2011-03-08 2011-12-31
AWZ429 YIP Kam Kay 葉錦基 RE Advising on Securities 2011-08-02 2011-12-31
AWZ429 YIP Kam Kay 葉錦基 RE Asset Management 2011-08-02 2011-12-31
AXE843 PIERRE Pascal Patrick Dominique RE Dealing in Securities 2011-04-20 2011-05-04
AXR967 LUNT Geoffrey Paul RE Dealing in Securities 2011-11-24 2011-12-31
AXR967 LUNT Geoffrey Paul RE Advising on Securities 2011-07-22 2011-12-31
AXR967 LUNT Geoffrey Paul RE Asset Management 2011-07-22 2011-12-31

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