Hong Kong SFC licence institution AAJ947, Sofaer Global Research (HK) Limited

These are the licence-holders that were found for SFC licence institution AAJ947 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
AAE565 LUI Pui Sze, Cissy 呂沛詩 RE Advising on Securities 2003-04-01 2005-09-08
AAE565 LUI Pui Sze, Cissy 呂沛詩 RO Advising on Securities 2005-09-08 2006-03-27
AAE565 LUI Pui Sze, Cissy 呂沛詩 RE Advising on Futures Contracts 2003-04-01 2005-09-08
AAE565 LUI Pui Sze, Cissy 呂沛詩 RO Advising on Futures Contracts 2005-09-08 2006-03-27
AAE565 LUI Pui Sze, Cissy 呂沛詩 RE Advising on Corporate Finance 2003-04-01 2003-12-22
AAE565 LUI Pui Sze, Cissy 呂沛詩 RE Asset Management 2003-04-01 2005-09-08
AAE565 LUI Pui Sze, Cissy 呂沛詩 RO Asset Management 2005-09-08 2006-03-27
AAJ100 FABER Markus RO Advising on Securities 2004-10-14 2006-11-17
AAJ100 FABER Markus RO Asset Management 2004-10-14 2006-11-17
AAQ068 GUARNIERI Giampaolo Gino Ferdinando RO Asset Management 2003-04-01 2004-07-01
ABN111 PETERS Carmel RO Advising on Securities 2006-07-25 2008-08-04
ABN111 PETERS Carmel RO Advising on Futures Contracts 2006-07-25 2008-08-04
ABN111 PETERS Carmel RO Asset Management 2006-07-25 2008-08-04
ACA628 MCLAREN Kirsty Jayne RO Advising on Securities 2006-06-09 2008-07-04
ACA628 MCLAREN Kirsty Jayne RO Advising on Futures Contracts 2006-06-09 2008-07-04
ACA628 MCLAREN Kirsty Jayne RE Asset Management 2006-06-09 2007-09-18
ACA628 MCLAREN Kirsty Jayne RO Asset Management 2007-09-18 2008-07-04
ACS345 SOUTAR James Alexander 蘇德城 RO Asset Management 2003-04-01 2004-07-01
ACS621 LEE Henry Da-Cheng 李大成 RO Advising on Securities 2008-08-01 2010-05-31
ACS621 LEE Henry Da-Cheng 李大成 RO Advising on Futures Contracts 2008-08-14 2010-05-31
ACS621 LEE Henry Da-Cheng 李大成 RO Asset Management 2008-08-01 2010-05-31
ACT176 TSE Nissim 謝納新 RE Advising on Securities 2011-06-21 2011-08-01
ACT176 TSE Nissim 謝納新 RO Advising on Securities 2011-08-01
ACT176 TSE Nissim 謝納新 RE Asset Management 2011-06-21 2011-08-01
ACT176 TSE Nissim 謝納新 RO Asset Management 2011-08-01
ACZ723 KHOO Terence Boo Kheng 邱武慶 RO Advising on Securities 2008-10-29 2012-04-30
ACZ723 KHOO Terence Boo Kheng 邱武慶 RE Advising on Futures Contracts 2008-10-29 2010-05-11
ACZ723 KHOO Terence Boo Kheng 邱武慶 RO Advising on Futures Contracts 2010-05-11 2010-12-11
ACZ723 KHOO Terence Boo Kheng 邱武慶 RE Asset Management 2008-09-05 2008-10-29
ACZ723 KHOO Terence Boo Kheng 邱武慶 RO Asset Management 2008-10-29 2012-04-30
ADG978 LEUNG Kenrick Kwong Wick 梁光域 RE Advising on Securities 2003-04-01 2004-08-13
ADG978 LEUNG Kenrick Kwong Wick 梁光域 RE Advising on Futures Contracts 2003-04-01 2004-08-13
ADG978 LEUNG Kenrick Kwong Wick 梁光域 RE Advising on Corporate Finance 2003-04-01 2003-12-22
ADG978 LEUNG Kenrick Kwong Wick 梁光域 RE Asset Management 2003-04-01 2004-08-13
ADG978 LEUNG Kenrick Kwong Wick 梁光域 RE Asset Management 2012-03-16 2012-05-25
AED838 SAMTANI Prem Haroomal Ramchand RE Advising on Securities 2003-04-01 2004-08-09
AED838 SAMTANI Prem Haroomal Ramchand RE Advising on Corporate Finance 2003-04-01 2003-12-22
AED838 SAMTANI Prem Haroomal Ramchand RE Asset Management 2003-04-01 2004-08-09
AGU946 SHAMASH Mark Naim RE Advising on Securities 2003-04-01 2003-08-01
AGU946 SHAMASH Mark Naim RO Advising on Securities 2005-04-04 2005-10-01
AGU946 SHAMASH Mark Naim RE Advising on Futures Contracts 2003-04-01 2003-08-01
AGU946 SHAMASH Mark Naim RO Advising on Futures Contracts 2005-04-04 2005-10-01
AGU946 SHAMASH Mark Naim RE Advising on Corporate Finance 2003-04-01 2003-08-01
AGU946 SHAMASH Mark Naim RE Asset Management 2003-04-01 2003-08-01
AGU946 SHAMASH Mark Naim RO Asset Management 2005-04-04 2005-10-01
AGW608 LIM Tay Seop 林泰燮 RE Advising on Securities 2008-09-30 2010-05-21
AGW608 LIM Tay Seop 林泰燮 RE Advising on Futures Contracts 2008-09-30 2010-05-21
AGW608 LIM Tay Seop 林泰燮 RE Asset Management 2008-09-30 2010-05-21
AHC184 CHAN Benson Lin-Fong 陳凌峰 RO Advising on Securities 2017-04-10 2018-06-29
AHC184 CHAN Benson Lin-Fong 陳凌峰 RO Asset Management 2017-04-10 2018-06-29
AHJ475 CHANG Sze Ching 鄭思正 RE Advising on Securities 2006-05-02 2008-09-07
AHJ475 CHANG Sze Ching 鄭思正 RE Advising on Futures Contracts 2006-05-18 2008-09-07
AHJ475 CHANG Sze Ching 鄭思正 RE Asset Management 2006-05-02 2008-09-07
AIR290 BOUTLAND Richard Anthony William RO Advising on Securities 2018-04-11
AIR290 BOUTLAND Richard Anthony William RO Asset Management 2018-04-11
AKV328 CHAN Kin Kenneth 陳健 RE Advising on Securities 2012-05-15 2013-07-17
AKV328 CHAN Kin Kenneth 陳健 RE Asset Management 2012-05-15 2013-07-17
ALN194 WHYTE Timothy James RO Advising on Securities 2005-03-08 2008-07-31
ALN194 WHYTE Timothy James RO Advising on Futures Contracts 2005-03-08 2008-07-31
ALN194 WHYTE Timothy James RO Asset Management 2005-03-08 2008-07-31
ALR718 CHANG Wai Lun 張偉麟 RE Advising on Securities 2005-03-01 2005-05-18
ALR718 CHANG Wai Lun 張偉麟 RE Advising on Futures Contracts 2005-03-01 2005-05-18
ALR718 CHANG Wai Lun 張偉麟 RE Asset Management 2005-03-01 2005-05-18
AMC785 WONG Chung Ho, Ian 黃仲濠 RE Advising on Securities 2005-07-11 2008-08-07
AMC785 WONG Chung Ho, Ian 黃仲濠 RO Advising on Securities 2008-08-07 2017-04-11
AMC785 WONG Chung Ho, Ian 黃仲濠 RE Advising on Futures Contracts 2005-07-11 2008-08-07
AMC785 WONG Chung Ho, Ian 黃仲濠 RO Advising on Futures Contracts 2008-08-07 2010-12-11
AMC785 WONG Chung Ho, Ian 黃仲濠 RE Asset Management 2005-07-11 2008-08-07
AMC785 WONG Chung Ho, Ian 黃仲濠 RO Asset Management 2008-08-07 2017-04-11
ANM619 HO George Chenghua 何正華 RE Advising on Securities 2010-09-08 2012-06-01
ANM619 HO George Chenghua 何正華 RE Asset Management 2010-09-08 2012-06-01
APO463 XU Wen 胥雯 RE Advising on Securities 2012-04-11 2012-04-30
APO463 XU Wen 胥雯 RE Asset Management 2012-04-11 2012-04-30
ARF686 HO Pui Fung, Dominic 何沛峰 RE Advising on Securities 2008-09-05 2011-05-13
ARF686 HO Pui Fung, Dominic 何沛峰 RE Advising on Securities 2011-08-12 2012-05-16
ARF686 HO Pui Fung, Dominic 何沛峰 RE Advising on Futures Contracts 2008-09-05 2010-12-11
ARF686 HO Pui Fung, Dominic 何沛峰 RE Asset Management 2008-09-05 2011-05-13
ARF686 HO Pui Fung, Dominic 何沛峰 RE Asset Management 2011-08-12 2012-05-16
AVL146 CHANG Jung-Jung 張榕容 RE Advising on Securities 2013-05-06 2017-03-31
AVL146 CHANG Jung-Jung 張榕容 RE Asset Management 2013-05-06 2017-03-31
AXH211 WONG Wai Han 黃惠嫺 RE Advising on Securities 2011-05-18 2012-08-15
AXH211 WONG Wai Han 黃惠嫺 RE Asset Management 2011-05-18 2012-08-15
BBZ054 MICHAEL Epiphanios RE Advising on Securities 2014-09-30 2015-12-31
BBZ054 MICHAEL Epiphanios RE Asset Management 2014-09-30 2015-12-31
BCL743 YU Xiaochuan 余小川 RE Advising on Securities 2013-12-10 2014-08-28
BCL743 YU Xiaochuan 余小川 RE Asset Management 2013-12-10 2014-08-28
BIB605 FELDMANN Daniel Thomas RE Advising on Securities 2016-08-29 2017-06-30

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