Hong Kong SFC licence institution AAJ408, Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)

These are the licence-holders that were found for SFC licence institution AAJ408 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
AAA935 HO Shuk Yee, Samantha 何淑懿 RE Dealing in Securities 2013-04-29 2013-05-23
AAA935 HO Shuk Yee, Samantha 何淑懿 RO Dealing in Securities 2013-05-23 2013-11-29
AAA935 HO Shuk Yee, Samantha 何淑懿 RE Advising on Securities 2013-04-29 2013-05-23
AAA935 HO Shuk Yee, Samantha 何淑懿 RO Advising on Securities 2013-05-23 2013-11-29
AAA935 HO Shuk Yee, Samantha 何淑懿 RE Asset Management 2013-04-29 2013-05-23
AAA935 HO Shuk Yee, Samantha 何淑懿 RO Asset Management 2013-05-23 2013-11-29
AAJ268 POON To Sing 潘道成 RE Dealing in Securities 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Advising on Securities 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Advising on Futures Contracts 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Advising on Corporate Finance 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Asset Management 2003-04-01 2004-04-07
AAW009 LAI Pik Kwan 黎璧君 RE Dealing in Securities 2008-02-19 2011-05-20
AAW009 LAI Pik Kwan 黎璧君 RE Asset Management 2008-02-19 2011-05-20
ACC557 LEUNG See Charm, Eugene 梁思湛 RE Dealing in Securities 2004-12-23 2006-08-22
ACC557 LEUNG See Charm, Eugene 梁思湛 RO Dealing in Securities 2006-08-22 2013-05-31
ACC557 LEUNG See Charm, Eugene 梁思湛 RE Advising on Securities 2004-12-23 2006-08-22
ACC557 LEUNG See Charm, Eugene 梁思湛 RO Advising on Securities 2006-08-22 2013-05-31
ACC557 LEUNG See Charm, Eugene 梁思湛 RE Asset Management 2004-12-23 2006-08-22
ACC557 LEUNG See Charm, Eugene 梁思湛 RO Asset Management 2006-08-22 2013-05-31
ACI692 CHAN Yin Kar, Joyce 陳彥嘉 RE Dealing in Securities 2003-04-28 2003-12-08
ACI692 CHAN Yin Kar, Joyce 陳彥嘉 RE Advising on Securities 2003-04-28 2003-12-08
ACM544 LO Huen Huen, Sulia 盧暄萱 RE Dealing in Securities 2003-04-01 2004-04-11
ACM544 LO Huen Huen, Sulia 盧暄萱 RO Advising on Securities 2003-04-01 2004-04-11
ACM544 LO Huen Huen, Sulia 盧暄萱 RO Asset Management 2003-04-01 2004-04-11
ACO201 CHAN Lai Sze 陳麗絲 RE Dealing in Securities 2003-04-01 2006-04-06
ACO201 CHAN Lai Sze 陳麗絲 RO Dealing in Securities 2006-04-06 2013-03-31
ACO201 CHAN Lai Sze 陳麗絲 RO Dealing in Securities 2013-09-17 2014-07-31
ACO201 CHAN Lai Sze 陳麗絲 RE Advising on Securities 2003-04-01 2006-04-06
ACO201 CHAN Lai Sze 陳麗絲 RO Advising on Securities 2006-04-06 2013-03-31
ACO201 CHAN Lai Sze 陳麗絲 RO Advising on Securities 2013-09-17 2014-07-31
ACO201 CHAN Lai Sze 陳麗絲 RE Advising on Futures Contracts 2003-04-01 2005-07-28
ACO201 CHAN Lai Sze 陳麗絲 RO Advising on Futures Contracts 2005-07-28 2006-05-26
ACO201 CHAN Lai Sze 陳麗絲 RE Advising on Corporate Finance 2003-04-01 2004-10-29
ACO201 CHAN Lai Sze 陳麗絲 RE Asset Management 2003-04-01 2004-12-15
ACO201 CHAN Lai Sze 陳麗絲 RO Asset Management 2004-12-15 2013-03-31
ACO201 CHAN Lai Sze 陳麗絲 RO Asset Management 2013-09-17 2014-07-31
ACP609 CHOW Irene Man Ling 周雯玲 RE Dealing in Securities 2003-04-01 2003-05-01
ACP609 CHOW Irene Man Ling 周雯玲 RO Advising on Securities 2003-04-01 2003-05-01
ACP609 CHOW Irene Man Ling 周雯玲 RO Asset Management 2003-04-01 2003-05-01
ACQ100 FAN Wai Man, Ana 樊惠文 RE Dealing in Securities 2006-09-25 2007-07-31
ACQ100 FAN Wai Man, Ana 樊惠文 RE Advising on Securities 2006-09-25 2007-07-31
ACQ100 FAN Wai Man, Ana 樊惠文 RE Asset Management 2006-09-25 2007-07-31
ACT312 YIAN Chui Wah, Lethe 任翠華 RE Dealing in Securities 2005-02-04 2007-11-16
ACT312 YIAN Chui Wah, Lethe 任翠華 RE Advising on Securities 2005-02-04 2007-11-16
ACT312 YIAN Chui Wah, Lethe 任翠華 RE Asset Management 2005-02-04 2007-11-16
ADF951 CHAN Siu Chi 陳少芝 RE Dealing in Securities 2003-04-01 2004-05-21
ADF951 CHAN Siu Chi 陳少芝 RE Advising on Securities 2003-04-01 2004-05-21
ADF951 CHAN Siu Chi 陳少芝 RE Advising on Corporate Finance 2003-04-01 2004-05-21
ADF951 CHAN Siu Chi 陳少芝 RE Asset Management 2003-04-01 2004-05-21
ADK623 LEE Melissa 李潔冰 RE Dealing in Securities 2011-10-21 2012-01-04
ADT848 LU Carolyn Anne 陸舜華 RE Dealing in Securities 2003-04-01 2004-08-27
ADT848 LU Carolyn Anne 陸舜華 RO Dealing in Securities 2004-08-27 2006-05-01
ADT848 LU Carolyn Anne 陸舜華 RE Advising on Securities 2003-04-01 2004-08-27
ADT848 LU Carolyn Anne 陸舜華 RO Advising on Securities 2004-08-27 2006-05-01
ADT848 LU Carolyn Anne 陸舜華 RO Advising on Futures Contracts 2004-08-27 2006-05-01
ADT848 LU Carolyn Anne 陸舜華 RE Advising on Corporate Finance 2003-04-01 2004-05-10
ADT848 LU Carolyn Anne 陸舜華 RE Asset Management 2003-04-01 2004-05-10
ADT848 LU Carolyn Anne 陸舜華 RO Asset Management 2005-01-18 2006-05-01
ADW527 MUH Anthony Yi Tong 沐義棠 RE Dealing in Securities 2003-04-01 2004-08-30
ADW527 MUH Anthony Yi Tong 沐義棠 RO Dealing in Securities 2004-08-30 2005-04-19
ADW527 MUH Anthony Yi Tong 沐義棠 RO Advising on Securities 2003-04-01 2005-04-19
ADW527 MUH Anthony Yi Tong 沐義棠 RO Advising on Futures Contracts 2003-04-01 2005-04-19
ADW527 MUH Anthony Yi Tong 沐義棠 RO Advising on Corporate Finance 2003-04-01 2004-08-27
ADW527 MUH Anthony Yi Tong 沐義棠 RO Asset Management 2003-04-01 2005-04-19
AEF921 NEWMAN James Shields RE Dealing in Securities 2003-04-01 2004-01-31
AEF921 NEWMAN James Shields RO Advising on Securities 2003-04-01 2004-01-31
AEF921 NEWMAN James Shields RO Advising on Futures Contracts 2003-04-01 2004-01-31
AEF921 NEWMAN James Shields RE Advising on Corporate Finance 2003-04-01 2004-01-31
AEF921 NEWMAN James Shields RO Asset Management 2003-04-01 2004-01-31
AEK540 HO Mei Ling, Edwina 何美玲 RE Dealing in Securities 2005-01-18 2006-03-01
AEK540 HO Mei Ling, Edwina 何美玲 RE Advising on Securities 2005-01-18 2006-03-01
AEK540 HO Mei Ling, Edwina 何美玲 RE Asset Management 2005-01-18 2006-03-01
AFD453 CHAN Winnie 陳韻妮 RE Dealing in Securities 2005-04-19 2013-03-28
AFD453 CHAN Winnie 陳韻妮 RO Dealing in Securities 2013-10-22 2014-04-30
AFD453 CHAN Winnie 陳韻妮 RE Advising on Securities 2005-04-19 2012-10-12
AFD453 CHAN Winnie 陳韻妮 RO Advising on Securities 2012-10-12 2014-04-30
AFD453 CHAN Winnie 陳韻妮 RE Asset Management 2005-04-19 2012-10-12
AFD453 CHAN Winnie 陳韻妮 RO Asset Management 2012-10-12 2014-04-30
AFF236 TSE Kit Ting, Monique 謝潔婷 RE Dealing in Securities 2006-12-28 2008-09-01
AFF236 TSE Kit Ting, Monique 謝潔婷 RE Advising on Securities 2006-12-28 2008-09-01
AFF236 TSE Kit Ting, Monique 謝潔婷 RE Asset Management 2006-12-28 2008-09-01
AFN905 LEE Sai Yin 李世賢 RE Dealing in Securities 2006-08-02 2006-09-23
AFN905 LEE Sai Yin 李世賢 RO Dealing in Securities 2006-09-23 2007-09-08
AFN905 LEE Sai Yin 李世賢 RE Advising on Securities 2006-08-02 2006-09-23
AFN905 LEE Sai Yin 李世賢 RO Advising on Securities 2006-09-23 2007-09-08
AFN905 LEE Sai Yin 李世賢 RE Asset Management 2006-08-02 2006-09-23
AFN905 LEE Sai Yin 李世賢 RO Asset Management 2006-09-23 2007-09-08
AFR464 CHOON Yew Khee 秦耀奇 RE Dealing in Securities 2003-04-01 2004-10-27
AFR464 CHOON Yew Khee 秦耀奇 RO Dealing in Securities 2004-10-27 2006-07-15
AFR464 CHOON Yew Khee 秦耀奇 RE Advising on Securities 2003-04-01 2004-10-27
AFR464 CHOON Yew Khee 秦耀奇 RO Advising on Securities 2004-10-27 2006-07-15
AFR464 CHOON Yew Khee 秦耀奇 RE Advising on Corporate Finance 2003-04-01 2004-08-17
AFR464 CHOON Yew Khee 秦耀奇 RE Asset Management 2003-04-01 2004-08-17
AFR464 CHOON Yew Khee 秦耀奇 RE Asset Management 2004-12-03 2005-10-25
AFR464 CHOON Yew Khee 秦耀奇 RO Asset Management 2005-10-25 2006-07-15
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Dealing in Securities 2003-04-01 2003-11-28
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Advising on Securities 2003-04-01 2003-11-28
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Advising on Corporate Finance 2003-04-01 2003-11-28
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Asset Management 2003-04-01 2003-11-28
AFU886 LEE Yin Tak 李賢德 RE Dealing in Securities 2003-10-15 2005-12-01
AFU886 LEE Yin Tak 李賢德 RE Advising on Securities 2003-10-15 2005-12-01
AFU886 LEE Yin Tak 李賢德 RE Advising on Futures Contracts 2003-10-15 2005-12-01
AFU886 LEE Yin Tak 李賢德 RE Asset Management 2003-10-15 2005-12-01
AGJ907 CHAN Chun Man 陳俊文 RE Dealing in Securities 2006-02-07 2007-02-27
AGJ907 CHAN Chun Man 陳俊文 RE Advising on Securities 2006-02-07 2007-02-27
AGJ907 CHAN Chun Man 陳俊文 RE Asset Management 2006-02-07 2007-03-01
AGJ950 LAU Tsz Lung 劉子龍 RE Dealing in Securities 2003-04-01 2005-12-21
AGJ950 LAU Tsz Lung 劉子龍 RE Advising on Securities 2003-04-01 2005-12-21
AGJ950 LAU Tsz Lung 劉子龍 RE Advising on Futures Contracts 2003-04-01 2005-12-21
AGJ950 LAU Tsz Lung 劉子龍 RE Advising on Corporate Finance 2003-04-01 2004-08-09
AGJ950 LAU Tsz Lung 劉子龍 RE Asset Management 2003-04-01 2005-12-21
AGL147 YAN Chi Kwan 顏志軍 RE Dealing in Securities 2003-04-01 2004-09-09
AGL147 YAN Chi Kwan 顏志軍 RE Advising on Securities 2003-04-01 2004-09-09
AGL147 YAN Chi Kwan 顏志軍 RE Advising on Corporate Finance 2003-04-01 2004-08-09
AGL147 YAN Chi Kwan 顏志軍 RE Asset Management 2003-04-01 2004-08-09
AGL235 TAN Su Ee, Hedy RE Dealing in Securities 2007-03-01 2007-04-01
AGL235 TAN Su Ee, Hedy RE Advising on Securities 2007-03-01 2007-04-01
AGL235 TAN Su Ee, Hedy RE Asset Management 2007-03-01 2007-04-01
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Dealing in Securities 2006-09-05 2007-04-01
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Advising on Securities 2006-09-05 2007-04-01
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Asset Management 2006-09-05 2007-04-01
AGP663 LAM Lam, Linda 林霖 RE Dealing in Securities 2003-04-01 2006-07-01
AGP663 LAM Lam, Linda 林霖 RE Advising on Securities 2003-04-01 2006-07-01
AGP663 LAM Lam, Linda 林霖 RE Advising on Futures Contracts 2003-04-01 2006-07-01
AGP663 LAM Lam, Linda 林霖 RE Advising on Corporate Finance 2003-04-01 2004-08-09
AGP663 LAM Lam, Linda 林霖 RE Asset Management 2003-04-01 2004-08-09
AGP663 LAM Lam, Linda 林霖 RE Asset Management 2005-02-07 2006-07-01
AGY066 LAM Josephine 林詠琪 RE Dealing in Securities 2004-07-30 2013-03-28
AGY066 LAM Josephine 林詠琪 RE Advising on Securities 2004-07-30 2013-03-28
AGY066 LAM Josephine 林詠琪 RE Asset Management 2004-07-30 2013-03-28
AHH541 TSANG Freeman Siu For 曾劭科 RE Dealing in Securities 2004-10-19 2006-06-24
AHH541 TSANG Freeman Siu For 曾劭科 RE Advising on Securities 2004-10-19 2006-06-24
AHH541 TSANG Freeman Siu For 曾劭科 RE Asset Management 2004-11-26 2006-06-24
AHI208 WONG Susie Anne RE Dealing in Securities 2003-04-01 2004-05-14
AHI208 WONG Susie Anne RE Advising on Securities 2003-04-01 2004-05-14
AHI208 WONG Susie Anne RE Advising on Corporate Finance 2003-04-01 2004-05-14
AHI208 WONG Susie Anne RE Asset Management 2003-04-01 2004-05-14
AIQ973 HUI Hoi Pan 許海濱 RE Dealing in Securities 2006-05-09 2008-09-01
AIQ973 HUI Hoi Pan 許海濱 RE Advising on Securities 2006-04-29 2008-09-01
AIQ973 HUI Hoi Pan 許海濱 RE Advising on Futures Contracts 2006-04-29 2006-05-26
AIQ973 HUI Hoi Pan 許海濱 RE Asset Management 2006-04-29 2008-09-01
AJA081 WONG Kit Yee, Martina 黃潔怡 RE Asset Management 2003-06-10 2004-03-05
AJA081 WONG Kit Yee, Martina 黃潔怡 RE Asset Management 2004-10-25 2006-08-17
AJA082 CHAN Nga Yan 陳雅茵 RE Asset Management 2003-06-10 2004-04-20
AJB738 FONG Man Yu 方聞宇 RE Asset Management 2003-07-28 2003-09-08
AJF367 BLEIBERG Steven David RE Dealing in Securities 2003-10-27 2004-01-26
AJF367 BLEIBERG Steven David RE Dealing in Securities 2004-03-18 2004-04-01
AJF367 BLEIBERG Steven David RE Dealing in Securities 2005-02-26 2005-03-02
AJJ143 MITCHELL Christine Ka Yee 家宜 RE Dealing in Securities 2004-01-10 2005-10-22
AJJ143 MITCHELL Christine Ka Yee 家宜 RE Advising on Securities 2004-09-22 2005-10-22
AJJ143 MITCHELL Christine Ka Yee 家宜 RE Asset Management 2005-02-07 2005-10-22
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Dealing in Securities 2004-02-02 2007-03-01
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Advising on Securities 2004-02-02 2007-03-01
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Advising on Futures Contracts 2004-09-22 2006-05-26
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Asset Management 2004-09-22 2007-03-01
AKI295 YEO Thiam Hu RE Dealing in Securities 2004-10-28 2005-12-03
AKI295 YEO Thiam Hu RE Asset Management 2004-04-02 2005-12-03
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Dealing in Securities 2004-07-05 2011-07-06
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Advising on Securities 2004-07-05 2011-07-06
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Advising on Futures Contracts 2004-07-05 2006-05-26
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Asset Management 2004-07-05 2011-07-06
ALC058 WU Ngai See, Cecilia 胡毅詩 RE Dealing in Securities 2004-09-28 2005-07-01
ALC058 WU Ngai See, Cecilia 胡毅詩 RE Advising on Securities 2004-09-28 2005-07-01
ALC058 WU Ngai See, Cecilia 胡毅詩 RE Asset Management 2005-03-01 2005-07-01
ALG052 CHEN Chia-hao 陳家豪 RE Dealing in Securities 2004-09-16 2008-08-15
ALN138 GUHA ROY Tathagata RE Dealing in Securities 2004-11-30 2005-01-24
ALN138 GUHA ROY Tathagata RO Dealing in Securities 2005-01-24 2005-08-01
ALN138 GUHA ROY Tathagata RE Advising on Securities 2004-11-30 2005-01-24
ALN138 GUHA ROY Tathagata RO Advising on Securities 2005-01-24 2005-08-01
ALN138 GUHA ROY Tathagata RO Advising on Futures Contracts 2005-04-04 2005-08-01
ALN138 GUHA ROY Tathagata RE Asset Management 2004-11-30 2005-01-24
ALN138 GUHA ROY Tathagata RO Asset Management 2005-01-24 2005-07-24
ALN300 HEBNER Kevin John RE Advising on Securities 2004-12-06 2005-07-31
ALN300 HEBNER Kevin John RE Asset Management 2004-12-06 2005-07-31
ALQ882 YUEN Yee Leng RE Dealing in Securities 2005-01-26 2008-09-01
ALQ882 YUEN Yee Leng RE Advising on Securities 2005-01-26 2008-09-01
ALQ882 YUEN Yee Leng RE Asset Management 2005-01-26 2014-07-31
ALS054 LINDBLOOM Mark Stephen RE Dealing in Securities 2005-02-26 2005-03-02
ALS056 RAMACHANDRAN Anand RE Dealing in Securities 2005-02-24 2005-03-02
ALS480 LEE Chiinhao Alex 李君浩 RE Advising on Securities 2005-02-17 2009-03-12
ALS480 LEE Chiinhao Alex 李君浩 RE Asset Management 2005-02-17 2009-03-12
ALY891 LEE Chun Sing 李振聲 RE Dealing in Securities 2008-06-03 2008-09-08
ALY891 LEE Chun Sing 李振聲 RO Dealing in Securities 2008-09-08 2011-08-16
ALY891 LEE Chun Sing 李振聲 RE Advising on Securities 2008-06-03 2008-09-08
ALY891 LEE Chun Sing 李振聲 RO Advising on Securities 2008-09-08 2011-08-16
ALY891 LEE Chun Sing 李振聲 RE Asset Management 2008-06-03 2008-09-08
ALY891 LEE Chun Sing 李振聲 RO Asset Management 2008-09-08 2011-08-16
AMA992 BARNETT Beatriz Suarez RE Dealing in Securities 2005-06-06 2006-05-27
AMA992 BARNETT Beatriz Suarez RE Advising on Securities 2005-06-06 2006-05-27
AMA992 BARNETT Beatriz Suarez RE Asset Management 2005-06-06 2006-05-27
AMF516 SHI Lin 石琳 RE Dealing in Securities 2011-10-21 2014-04-30
AMF516 SHI Lin 石琳 RE Asset Management 2011-10-21 2014-04-30
AMP166 WU Sze Man 胡詩敏 RE Dealing in Securities 2005-10-18 2006-12-09
AMP166 WU Sze Man 胡詩敏 RE Advising on Securities 2005-10-18 2006-12-09
AMP166 WU Sze Man 胡詩敏 RE Asset Management 2005-10-18 2006-12-09
AMS676 HENCHMAN Jason Christopher D. RO Dealing in Securities 2006-01-09 2010-01-16
AMS676 HENCHMAN Jason Christopher D. RO Advising on Securities 2006-01-09 2010-01-16
AMS676 HENCHMAN Jason Christopher D. RO Asset Management 2006-10-04 2010-01-16
ANA191 AU Pui Ting 歐佩婷 RE Dealing in Securities 2007-01-11 2010-11-10
ANA191 AU Pui Ting 歐佩婷 RE Advising on Securities 2007-01-11 2010-11-10
ANA191 AU Pui Ting 歐佩婷 RE Asset Management 2007-01-11 2010-11-10
ANC021 CHAN Mei Shan 陳美珊 RE Dealing in Securities 2006-02-22 2014-04-10
ANC021 CHAN Mei Shan 陳美珊 RO Dealing in Securities 2014-04-10 2014-07-31
ANC021 CHAN Mei Shan 陳美珊 RE Advising on Securities 2006-02-22 2014-04-10
ANC021 CHAN Mei Shan 陳美珊 RO Advising on Securities 2014-04-10 2014-07-31
ANC021 CHAN Mei Shan 陳美珊 RE Advising on Futures Contracts 2006-02-22 2006-05-26
ANC021 CHAN Mei Shan 陳美珊 RE Asset Management 2006-02-22 2014-04-10
ANC021 CHAN Mei Shan 陳美珊 RO Asset Management 2014-04-10 2014-07-31
AND633 LIM Siao Tung 林曉彤 RE Dealing in Securities 2006-04-20 2007-09-08
AND633 LIM Siao Tung 林曉彤 RE Advising on Securities 2006-04-20 2007-09-08
AND633 LIM Siao Tung 林曉彤 RE Asset Management 2006-04-20 2007-09-08
ANH718 IWAHARA Kohei RE Dealing in Securities 2006-04-24 2008-09-01
ANH718 IWAHARA Kohei RE Advising on Securities 2006-04-24 2008-09-01
ANH718 IWAHARA Kohei RE Advising on Futures Contracts 2006-04-24 2006-05-26
ANH718 IWAHARA Kohei RE Asset Management 2006-04-24 2008-09-01
ANT222 BOWERS Victoria Helen RE Dealing in Securities 2006-08-03 2006-11-02
ANT222 BOWERS Victoria Helen RE Dealing in Securities 2006-11-10 2007-02-10
ANT222 BOWERS Victoria Helen RE Advising on Securities 2006-08-03 2006-11-02
ANT222 BOWERS Victoria Helen RE Advising on Securities 2006-11-10 2007-02-10
AOH362 HAMROCK Henry Patrick RE Dealing in Securities 2006-12-15 2007-04-01
AOH362 HAMROCK Henry Patrick RE Advising on Securities 2006-12-15 2007-04-01
AOH362 HAMROCK Henry Patrick RE Asset Management 2006-12-15 2007-04-01
AQO302 DAY Benjamin Clifford RE Advising on Securities 2008-02-27 2008-12-05
AXG586 HUNTER Philip James RE Dealing in Securities 2011-05-11 2013-03-18
AXG586 HUNTER Philip James RE Asset Management 2011-05-11 2013-03-18
AXJ789 CHOW Shun Yip 周順業 RE Dealing in Securities 2011-06-07 2013-01-28
AXJ789 CHOW Shun Yip 周順業 RE Advising on Securities 2011-06-07 2013-01-28
AXJ789 CHOW Shun Yip 周順業 RE Asset Management 2011-06-07 2013-01-28
AYG094 KANDUNIAS Jim RO Dealing in Securities 2011-11-25 2013-10-04
BBW379 RIDGWAY Mark RE Dealing in Securities 2013-09-18 2014-04-30

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