Below are the licence-holders that were found for SFC licence institution AAJ984 on the SFC website.
Deutsche Securities Asia Limited
德意志證券亞洲有限公司
Key for Role: RE = Respresentative, RO = Responsible Officer
| SFC code | English name | Chinese name | Role | Activity | Start date | End date |
|---|---|---|---|---|---|---|
| AAA119 | ARCULLI Kim Melanie | RE | Dealing in Securities | 2004-03-05 | 2005-05-25 | |
| AAA119 | ARCULLI Kim Melanie | RE | Advising on Securities | 2004-03-05 | 2005-05-25 | |
| AAB005 | WOO Lam Hay | 胡林熙 | RE | Dealing in Securities | 2003-04-01 | 2007-07-21 |
| AAB005 | WOO Lam Hay | 胡林熙 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AAB005 | WOO Lam Hay | 胡林熙 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AAB005 | WOO Lam Hay | 胡林熙 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Dealing in Securities | 2010-08-16 | 2012-09-05 |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Dealing in Futures Contracts | 2010-08-16 | 2012-09-05 |
| AAC292 | LAU Chi Chiu, Marcus | 劉志超 | RE | Providing Automated Trading Services | 2010-08-16 | 2012-09-05 |
| AAC359 | COOK Stuart Harrington | RE | Dealing in Securities | 2011-06-07 | 2018-04-17 | |
| AAC359 | COOK Stuart Harrington | RE | Advising on Securities | 2011-06-07 | 2015-02-03 | |
| AAC359 | COOK Stuart Harrington | RE | Providing Automated Trading Services | 2011-06-07 | 2015-02-03 | |
| AAE138 | HO To, Alan | 何鍍 | RE | Dealing in Securities | 2005-10-03 | 2007-04-11 |
| AAG780 | NARAIN Ravi | RE | Dealing in Securities | 2003-04-01 | 2010-03-24 | |
| AAG780 | NARAIN Ravi | RE | Advising on Securities | 2003-04-01 | 2010-03-24 | |
| AAG780 | NARAIN Ravi | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AAG780 | NARAIN Ravi | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AAI318 | LI Siu Sing, Nelson | 李紹成 | RE | Dealing in Securities | 2003-04-01 | 2009-06-13 |
| AAI318 | LI Siu Sing, Nelson | 李紹成 | RE | Advising on Securities | 2003-04-01 | 2009-06-13 |
| AAI318 | LI Siu Sing, Nelson | 李紹成 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AAI318 | LI Siu Sing, Nelson | 李紹成 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AAJ464 | HIL Chi Yung | 許志勇 | RE | Dealing in Securities | 2011-10-18 | 2015-02-28 |
| AAJ464 | HIL Chi Yung | 許志勇 | RO | Dealing in Securities | 2003-04-01 | 2011-10-18 |
| AAJ464 | HIL Chi Yung | 許志勇 | RO | Advising on Securities | 2003-04-01 | 2004-01-08 |
| AAJ464 | HIL Chi Yung | 許志勇 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AAJ464 | HIL Chi Yung | 許志勇 | RO | Asset Management | 2003-04-01 | 2004-01-08 |
| AAV369 | LI Sau Han, Ester Joyse | 李秀嫻 | RE | Dealing in Securities | 2003-04-01 | 2006-07-10 |
| AAV369 | LI Sau Han, Ester Joyse | 李秀嫻 | RE | Advising on Securities | 2003-04-01 | 2006-07-10 |
| AAV369 | LI Sau Han, Ester Joyse | 李秀嫻 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AAV369 | LI Sau Han, Ester Joyse | 李秀嫻 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AAV422 | WONG Wah Lam | 黃華林 | RE | Dealing in Securities | 2007-10-03 | 2008-07-18 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RE | Dealing in Securities | 2010-09-09 | 2014-05-26 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RO | Dealing in Securities | 2014-05-26 | 2018-05-09 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RE | Advising on Securities | 2010-09-09 | 2014-05-26 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RO | Advising on Securities | 2014-05-26 | 2018-05-09 |
| AAV864 | WONG Sek Ming, Paul | 黃錫明 | RE | Providing Automated Trading Services | 2010-09-09 | 2015-01-26 |
| ABE464 | CHAPLOW Richard Simon | RE | Dealing in Securities | 2003-04-01 | 2004-03-19 | |
| ABE464 | CHAPLOW Richard Simon | RE | Advising on Securities | 2003-04-01 | 2004-03-19 | |
| ABE464 | CHAPLOW Richard Simon | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ABE464 | CHAPLOW Richard Simon | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Dealing in Securities | 2011-06-10 | 2012-09-05 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Advising on Securities | 2011-06-10 | 2012-09-05 |
| ABL850 | LAW Kin Fat | 羅建發 | RE | Providing Automated Trading Services | 2011-06-10 | 2012-09-05 |
| ABM128 | CHRISTIANAKIS Leonidas Ioannis | RE | Dealing in Securities | 2004-09-15 | 2006-02-28 | |
| ABM128 | CHRISTIANAKIS Leonidas Ioannis | RE | Dealing in Futures Contracts | 2004-09-15 | 2006-02-28 | |
| ABM977 | NORRIS Jeremy Anthony | RE | Dealing in Securities | 2003-04-01 | 2005-05-26 | |
| ABM977 | NORRIS Jeremy Anthony | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| ABM977 | NORRIS Jeremy Anthony | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ABM977 | NORRIS Jeremy Anthony | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| ABN099 | TSANG Yee Mai | 曾綺薇 | RE | Dealing in Securities | 2003-04-01 | 2010-03-11 |
| ABN099 | TSANG Yee Mai | 曾綺薇 | RE | Dealing in Futures Contracts | 2006-06-20 | 2010-03-11 |
| ABN099 | TSANG Yee Mai | 曾綺薇 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| ABN099 | TSANG Yee Mai | 曾綺薇 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ABN099 | TSANG Yee Mai | 曾綺薇 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ABQ525 | BUGEL Michael Bartus | RE | Dealing in Securities | 2010-08-17 | 2012-06-13 | |
| ABQ525 | BUGEL Michael Bartus | RE | Advising on Securities | 2010-08-17 | 2012-06-13 | |
| ABR921 | CHENG Hang Lam, Maggie | 鄭杏琳 | RE | Dealing in Securities | 2003-07-15 | 2003-10-07 |
| ABS524 | CAI Hong Ping | 蔡洪平 | RE | Advising on Corporate Finance | 2012-03-05 | 2015-02-28 |
| ABS687 | CHAN Wai Ling | 陳慧玲 | RE | Dealing in Securities | 2003-05-05 | 2008-05-03 |
| ABS687 | CHAN Wai Ling | 陳慧玲 | RE | Advising on Securities | 2003-05-05 | 2004-02-02 |
| ABS687 | CHAN Wai Ling | 陳慧玲 | RE | Advising on Corporate Finance | 2003-05-05 | 2004-01-08 |
| ABS687 | CHAN Wai Ling | 陳慧玲 | RE | Asset Management | 2003-05-05 | 2004-01-08 |
| ABT506 | CHAN Chun Ho, Kelvin | 陳鎮浩 | RE | Dealing in Securities | 2007-10-05 | 2008-03-04 |
| ABW697 | NICHOL William Stewart | RE | Advising on Corporate Finance | 2012-03-05 | 2016-06-01 | |
| ACB812 | WONG Kin, Kenneth | 黃健 | RO | Dealing in Securities | 2003-04-01 | 2004-06-12 |
| ACB812 | WONG Kin, Kenneth | 黃健 | RO | Dealing in Futures Contracts | 2004-01-08 | 2004-06-12 |
| ACB812 | WONG Kin, Kenneth | 黃健 | RO | Advising on Securities | 2003-04-01 | 2003-09-23 |
| ACB812 | WONG Kin, Kenneth | 黃健 | RO | Advising on Futures Contracts | 2004-01-08 | 2004-06-12 |
| ACB812 | WONG Kin, Kenneth | 黃健 | RO | Advising on Corporate Finance | 2003-04-01 | 2003-09-23 |
| ACB812 | WONG Kin, Kenneth | 黃健 | RO | Asset Management | 2003-04-01 | 2003-09-23 |
| ACC217 | LIU Sum Ching | 廖心澄 | RE | Dealing in Securities | 2003-04-01 | 2005-01-07 |
| ACC217 | LIU Sum Ching | 廖心澄 | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-01-07 |
| ACC217 | LIU Sum Ching | 廖心澄 | RE | Advising on Securities | 2003-04-01 | 2005-01-07 |
| ACC217 | LIU Sum Ching | 廖心澄 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ACC217 | LIU Sum Ching | 廖心澄 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ACC653 | LO Chi Wa, Ricky | 羅志華 | RE | Dealing in Securities | 2003-04-01 | 2010-03-11 |
| ACC653 | LO Chi Wa, Ricky | 羅志華 | RE | Dealing in Futures Contracts | 2006-06-21 | 2010-03-11 |
| ACC653 | LO Chi Wa, Ricky | 羅志華 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ACC653 | LO Chi Wa, Ricky | 羅志華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ACC653 | LO Chi Wa, Ricky | 羅志華 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ACD934 | CROSBIE-WALSH Gordon Michael | RE | Dealing in Securities | 2003-04-01 | 2006-07-31 | |
| ACD934 | CROSBIE-WALSH Gordon Michael | RE | Advising on Securities | 2003-04-01 | 2006-07-31 | |
| ACD934 | CROSBIE-WALSH Gordon Michael | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ACD934 | CROSBIE-WALSH Gordon Michael | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| ACE500 | KHANNA Punit | RE | Dealing in Securities | 2003-04-01 | 2008-12-12 | |
| ACE500 | KHANNA Punit | RE | Advising on Securities | 2003-04-01 | 2008-12-12 | |
| ACE500 | KHANNA Punit | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ACE500 | KHANNA Punit | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| ACI718 | GOODWIN Hannah Victoria | RE | Dealing in Securities | 2003-04-01 | 2005-03-29 | |
| ACI718 | GOODWIN Hannah Victoria | RE | Advising on Securities | 2003-04-01 | 2004-04-17 | |
| ACI718 | GOODWIN Hannah Victoria | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ACI718 | GOODWIN Hannah Victoria | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| ACJ627 | YANG Hoi Ti, Heidi | 楊凱蒂 | RO | Advising on Corporate Finance | 2012-03-07 | |
| ACK248 | WU Ke, Isabella | 吳柯 | RE | Dealing in Securities | 2003-04-01 | 2004-04-23 |
| ACK248 | WU Ke, Isabella | 吳柯 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ACK248 | WU Ke, Isabella | 吳柯 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ACK248 | WU Ke, Isabella | 吳柯 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ACL001 | TSE Bun, Benjamin | 謝彬 | RE | Dealing in Securities | 2003-04-01 | 2006-12-29 |
| ACL001 | TSE Bun, Benjamin | 謝彬 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ACL001 | TSE Bun, Benjamin | 謝彬 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ACL001 | TSE Bun, Benjamin | 謝彬 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ACN472 | THOMAS Dean | RE | Dealing in Securities | 2007-02-09 | ||
| ACN472 | THOMAS Dean | RE | Dealing in Futures Contracts | 2007-02-09 | ||
| ACN472 | THOMAS Dean | RE | Providing Automated Trading Services | 2010-06-24 | 2013-03-06 | |
| ACN988 | LI Zemin | 李則旻 | RE | Advising on Corporate Finance | 2012-05-24 | 2012-06-02 |
| ACR744 | MCQUEEN Lee Michael | RE | Dealing in Securities | 2009-08-12 | 2010-04-29 | |
| ACR744 | MCQUEEN Lee Michael | RE | Dealing in Futures Contracts | 2009-08-12 | 2010-04-29 | |
| ACR753 | SANGHI Keshav krishna | RE | Dealing in Securities | 2003-04-01 | 2003-09-01 | |
| ACR753 | SANGHI Keshav krishna | RE | Advising on Securities | 2003-04-01 | 2003-09-01 | |
| ACR753 | SANGHI Keshav krishna | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-01 | |
| ACR753 | SANGHI Keshav krishna | RE | Asset Management | 2003-04-01 | 2003-09-01 | |
| ACS947 | WHITE Christopher James | RE | Dealing in Securities | 2004-07-19 | 2014-11-18 | |
| ACU419 | LAI Yuk Fai, David | 賴玉輝 | RE | Dealing in Securities | 2004-07-02 | 2017-02-07 |
| ACU447 | MILLER Daniel Owen | 但米勒 | RO | Dealing in Securities | 2003-04-01 | 2009-02-28 |
| ACU447 | MILLER Daniel Owen | 但米勒 | RO | Advising on Securities | 2003-04-01 | 2004-01-08 |
| ACU447 | MILLER Daniel Owen | 但米勒 | RO | Advising on Securities | 2005-05-27 | 2009-02-28 |
| ACU447 | MILLER Daniel Owen | 但米勒 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ACU447 | MILLER Daniel Owen | 但米勒 | RO | Asset Management | 2003-04-01 | 2004-01-08 |
| ACU882 | NG Ka Hing | 伍家興 | RE | Dealing in Securities | 2003-04-01 | 2005-05-10 |
| ACU882 | NG Ka Hing | 伍家興 | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-05-10 |
| ACU882 | NG Ka Hing | 伍家興 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ACU882 | NG Ka Hing | 伍家興 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ACU882 | NG Ka Hing | 伍家興 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ACU891 | LAI Wai Tsz | 黎慧慈 | RE | Dealing in Securities | 2007-05-25 | 2018-06-21 |
| ACU891 | LAI Wai Tsz | 黎慧慈 | RE | Dealing in Futures Contracts | 2007-05-25 | 2018-06-21 |
| ACW239 | LEE Fai Man | 李輝敏 | RE | Dealing in Securities | 2010-07-22 | 2012-02-16 |
| ACX120 | LING Kin Shun, Anne | 林建純 | RE | Advising on Securities | 2004-11-30 | 2007-11-07 |
| ACX715 | CHU Chi Yan, Brian | 朱智仁 | RE | Dealing in Securities | 2010-09-15 | 2015-01-15 |
| ACX715 | CHU Chi Yan, Brian | 朱智仁 | RO | Dealing in Securities | 2015-01-15 | |
| ACX715 | CHU Chi Yan, Brian | 朱智仁 | RE | Dealing in Futures Contracts | 2010-09-15 | |
| ACX715 | CHU Chi Yan, Brian | 朱智仁 | RE | Providing Automated Trading Services | 2010-09-15 | 2013-03-06 |
| ACZ555 | KUO Cheung | 郭強 | RE | Dealing in Securities | 2011-06-14 | 2012-08-09 |
| ACZ555 | KUO Cheung | 郭強 | RO | Dealing in Securities | 2012-08-09 | 2016-08-23 |
| ACZ555 | KUO Cheung | 郭強 | RE | Dealing in Futures Contracts | 2011-06-14 | 2012-08-09 |
| ACZ555 | KUO Cheung | 郭強 | RO | Dealing in Futures Contracts | 2012-08-09 | 2016-08-23 |
| ACZ968 | LI Wai Lim, Lambda | 李慧濂 | RE | Dealing in Securities | 2007-04-27 | 2010-04-14 |
| ADA734 | DAY Christopher Elliott Verco | 狄圖發 | RE | Dealing in Securities | 2004-07-28 | 2004-09-14 |
| ADA734 | DAY Christopher Elliott Verco | 狄圖發 | RE | Dealing in Securities | 2005-08-22 | 2006-04-04 |
| ADA784 | LU Gloria Yi | 陸奕 | RE | Dealing in Securities | 2003-06-03 | 2007-08-01 |
| ADA784 | LU Gloria Yi | 陸奕 | RE | Advising on Securities | 2004-02-02 | 2007-08-01 |
| ADA784 | LU Gloria Yi | 陸奕 | RE | Advising on Corporate Finance | 2003-09-17 | 2004-01-08 |
| ADA865 | FENNELL Nicholas Peter | RO | Dealing in Securities | 2003-04-01 | 2003-06-12 | |
| ADA865 | FENNELL Nicholas Peter | RO | Advising on Securities | 2003-04-01 | 2003-06-12 | |
| ADA865 | FENNELL Nicholas Peter | RO | Advising on Corporate Finance | 2003-04-01 | 2003-06-12 | |
| ADA865 | FENNELL Nicholas Peter | RO | Asset Management | 2003-04-01 | 2003-06-12 | |
| ADB589 | WOO Mei Wah | 吳美華 | RE | Dealing in Securities | 2003-04-01 | 2006-08-11 |
| ADB589 | WOO Mei Wah | 吳美華 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| ADB589 | WOO Mei Wah | 吳美華 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ADB589 | WOO Mei Wah | 吳美華 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ADB786 | CHAK Wing Kai, Alan | 翟永基 | RE | Dealing in Securities | 2003-04-01 | 2004-04-23 |
| ADB786 | CHAK Wing Kai, Alan | 翟永基 | RO | Dealing in Futures Contracts | 2004-01-08 | 2004-04-23 |
| ADB786 | CHAK Wing Kai, Alan | 翟永基 | RE | Advising on Securities | 2003-04-01 | 2003-09-22 |
| ADB786 | CHAK Wing Kai, Alan | 翟永基 | RO | Advising on Futures Contracts | 2004-01-08 | 2004-04-23 |
| ADB786 | CHAK Wing Kai, Alan | 翟永基 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-22 |
| ADB786 | CHAK Wing Kai, Alan | 翟永基 | RE | Asset Management | 2003-04-01 | 2003-09-22 |
| ADC059 | SUEN Ming Chit | 孫明哲 | RE | Dealing in Securities | 2004-03-30 | 2010-08-14 |
| ADC059 | SUEN Ming Chit | 孫明哲 | RE | Advising on Securities | 2004-03-30 | 2010-08-14 |
| ADC285 | SILVEIRA Ashley | RE | Dealing in Securities | 2003-04-01 | 2003-09-01 | |
| ADC285 | SILVEIRA Ashley | RE | Advising on Securities | 2003-04-01 | 2003-09-01 | |
| ADC285 | SILVEIRA Ashley | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-01 | |
| ADC285 | SILVEIRA Ashley | RE | Asset Management | 2003-04-01 | 2003-09-01 | |
| ADH472 | FAN Sik Ling, Jacqueline | 范惜玲 | RE | Dealing in Securities | 2003-04-01 | 2005-04-11 |
| ADH472 | FAN Sik Ling, Jacqueline | 范惜玲 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ADH472 | FAN Sik Ling, Jacqueline | 范惜玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ADH472 | FAN Sik Ling, Jacqueline | 范惜玲 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ADH562 | CHAN Susan Wai-lan | 陳蕙蘭 | RE | Dealing in Securities | 2011-09-05 | 2013-04-10 |
| ADH562 | CHAN Susan Wai-lan | 陳蕙蘭 | RE | Dealing in Futures Contracts | 2011-09-05 | 2013-04-10 |
| ADI662 | YANG Angus Sheau Yu | 楊曉瑜 | RE | Dealing in Securities | 2017-09-12 | 2018-06-07 |
| ADI662 | YANG Angus Sheau Yu | 楊曉瑜 | RO | Dealing in Securities | 2018-06-07 | |
| ADI662 | YANG Angus Sheau Yu | 楊曉瑜 | RE | Dealing in Futures Contracts | 2017-09-12 | 2018-06-07 |
| ADI662 | YANG Angus Sheau Yu | 楊曉瑜 | RO | Dealing in Futures Contracts | 2018-06-07 | |
| ADJ352 | LEE Ming Keung | 李明強 | RE | Dealing in Securities | 2003-12-09 | 2005-05-03 |
| ADJ352 | LEE Ming Keung | 李明強 | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-05-03 |
| ADJ624 | LEE Chun Wang | 李俊宏 | RE | Dealing in Securities | 2003-04-30 | 2004-07-28 |
| ADJ624 | LEE Chun Wang | 李俊宏 | RE | Advising on Securities | 2003-04-30 | 2004-02-02 |
| ADJ624 | LEE Chun Wang | 李俊宏 | RE | Advising on Corporate Finance | 2003-04-30 | 2004-01-08 |
| ADJ624 | LEE Chun Wang | 李俊宏 | RE | Asset Management | 2003-04-30 | 2004-01-08 |
| ADJ799 | YAU Sheung Kam | 邱湘琴 | RE | Dealing in Securities | 2003-04-01 | 2004-09-14 |
| ADJ799 | YAU Sheung Kam | 邱湘琴 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ADJ799 | YAU Sheung Kam | 邱湘琴 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ADJ799 | YAU Sheung Kam | 邱湘琴 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ADJ822 | SANCHEZ Marlon Mikhail | RE | Dealing in Securities | 2006-06-26 | 2011-01-04 | |
| ADJ822 | SANCHEZ Marlon Mikhail | RO | Dealing in Securities | 2011-01-04 | ||
| ADJ822 | SANCHEZ Marlon Mikhail | RE | Dealing in Futures Contracts | 2006-06-26 | 2018-12-20 | |
| ADJ822 | SANCHEZ Marlon Mikhail | RO | Dealing in Futures Contracts | 2018-12-20 | ||
| ADJ822 | SANCHEZ Marlon Mikhail | RO | Advising on Securities | 2011-01-04 | ||
| ADJ822 | SANCHEZ Marlon Mikhail | RE | Providing Automated Trading Services | 2010-06-23 | 2012-03-13 | |
| ADJ822 | SANCHEZ Marlon Mikhail | RO | Providing Automated Trading Services | 2012-03-13 | 2016-04-05 | |
| ADK738 | MAK Winnie | 麥蔚誼 | RE | Advising on Securities | 2005-04-04 | 2005-07-22 |
| ADM064 | LIEW Ivy | 劉愛雯 | RE | Dealing in Securities | 2013-02-18 | |
| ADM569 | LU Amanda Xiao Qiang | 路小強 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-04-01 |
| ADN955 | NOLAN Brian Patrick | RO | Advising on Securities | 2003-04-01 | 2003-06-01 | |
| ADO886 | MORTON Peter Douglas | RE | Advising on Corporate Finance | 2012-03-05 | 2015-05-19 | |
| ADQ008 | LAUNGANI Neel | RE | Advising on Corporate Finance | 2017-10-23 | ||
| ADQ849 | TANG Wing Sze, Wincy | 鄧穎施 | RE | Dealing in Securities | 2005-05-20 | 2007-04-30 |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RE | Dealing in Securities | 2007-03-29 | 2010-08-04 |
| ADR493 | CHAN Chi Ho, Ron | 陳志豪 | RE | Dealing in Futures Contracts | 2007-03-29 | 2010-08-04 |
| ADS225 | CHIN Kong Yew | RE | Dealing in Securities | 2007-04-03 | 2008-12-05 | |
| ADS722 | HAN Chia-Lei | 韓嘉蕾 | RE | Dealing in Securities | 2006-05-08 | 2008-06-23 |
| ADT188 | LU Hue Thi | RE | Dealing in Securities | 2007-08-03 | 2012-06-13 | |
| ADT188 | LU Hue Thi | RE | Dealing in Futures Contracts | 2007-08-03 | 2012-06-13 | |
| ADT336 | TUCKWELL Zachary Scott | RE | Dealing in Securities | 2008-09-08 | 2009-09-22 | |
| ADT374 | MOREIRA Nicholas Hubert | RE | Dealing in Securities | 2011-12-16 | 2012-12-13 | |
| ADT374 | MOREIRA Nicholas Hubert | RO | Dealing in Securities | 2012-12-13 | ||
| ADT374 | MOREIRA Nicholas Hubert | RE | Dealing in Futures Contracts | 2011-12-16 | 2012-12-13 | |
| ADT374 | MOREIRA Nicholas Hubert | RE | Dealing in Futures Contracts | 2013-06-18 | ||
| ADT374 | MOREIRA Nicholas Hubert | RO | Dealing in Futures Contracts | 2012-12-13 | 2013-06-18 | |
| ADT374 | MOREIRA Nicholas Hubert | RE | Advising on Securities | 2011-12-16 | ||
| ADT374 | MOREIRA Nicholas Hubert | RE | Advising on Futures Contracts | 2011-12-16 | ||
| ADU559 | LI Ka Pui, Annette | 李嘉珮 | RE | Dealing in Securities | 2003-04-01 | 2004-02-01 |
| ADU559 | LI Ka Pui, Annette | 李嘉珮 | RE | Advising on Securities | 2003-04-01 | 2004-02-01 |
| ADU559 | LI Ka Pui, Annette | 李嘉珮 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ADU559 | LI Ka Pui, Annette | 李嘉珮 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ADV127 | BERTRAND Caroline | RE | Dealing in Securities | 2003-04-01 | 2005-03-04 | |
| ADV127 | BERTRAND Caroline | RE | Advising on Securities | 2003-04-01 | 2005-03-04 | |
| ADV127 | BERTRAND Caroline | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ADV127 | BERTRAND Caroline | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| ADV313 | PRIMHAK Warren Lee | RO | Dealing in Securities | 2003-04-01 | 2006-12-31 | |
| ADV313 | PRIMHAK Warren Lee | RO | Advising on Securities | 2003-04-01 | 2004-01-08 | |
| ADV313 | PRIMHAK Warren Lee | RO | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| ADV313 | PRIMHAK Warren Lee | RO | Asset Management | 2003-04-01 | 2004-01-08 | |
| ADV780 | LONG Tien Ian | 龍田淵 | RO | Advising on Corporate Finance | 2012-03-26 | 2014-06-14 |
| ADY095 | HOONG Yik Luen | 洪逸倫 | RE | Dealing in Securities | 2003-04-01 | 2003-04-17 |
| ADY095 | HOONG Yik Luen | 洪逸倫 | RE | Dealing in Securities | 2003-05-29 | 2009-01-01 |
| ADY095 | HOONG Yik Luen | 洪逸倫 | RE | Advising on Securities | 2003-04-01 | 2003-04-17 |
| ADY095 | HOONG Yik Luen | 洪逸倫 | RE | Advising on Securities | 2004-02-02 | 2009-01-01 |
| ADY095 | HOONG Yik Luen | 洪逸倫 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-17 |
| ADY095 | HOONG Yik Luen | 洪逸倫 | RE | Asset Management | 2003-04-01 | 2003-04-17 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Dealing in Securities | 2003-04-01 | 2006-03-06 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Dealing in Futures Contracts | 2004-06-24 | 2006-03-06 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| ADY323 | CHIANG Ming Zuei Charles | 江明叡 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| ADZ442 | CHOW Ka Ching, Jimmy | 周家正 | RE | Dealing in Securities | 2006-08-16 | 2017-08-31 |
| ADZ442 | CHOW Ka Ching, Jimmy | 周家正 | RE | Dealing in Futures Contracts | 2006-08-16 | 2017-08-31 |
| ADZ914 | BRIXEN Scott Bradley | RE | Dealing in Securities | 2007-11-09 | 2014-01-30 | |
| AEA620 | CHUNG Jeffrey Jin Wook | RE | Dealing in Securities | 2003-04-01 | 2014-04-10 | |
| AEA620 | CHUNG Jeffrey Jin Wook | RE | Advising on Securities | 2003-04-01 | 2014-04-10 | |
| AEA620 | CHUNG Jeffrey Jin Wook | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AEA620 | CHUNG Jeffrey Jin Wook | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AEC938 | HO Chak Kie | 何澤基 | RE | Dealing in Securities | 2003-04-01 | 2017-07-21 |
| AEC938 | HO Chak Kie | 何澤基 | RE | Dealing in Futures Contracts | 2013-04-02 | 2017-07-21 |
| AEC938 | HO Chak Kie | 何澤基 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AEC938 | HO Chak Kie | 何澤基 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AEC938 | HO Chak Kie | 何澤基 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AEE308 | GOCO Allan Gilbert Lim | RE | Dealing in Securities | 2003-04-16 | 2008-12-01 | |
| AEF253 | CHAN Kwok Wai, Spencer | 陳國偉 | RE | Dealing in Securities | 2006-04-03 | 2013-08-07 |
| AEF574 | PANG Ka Yin | 彭嘉賢 | RE | Dealing in Securities | 2010-05-10 | 2018-02-06 |
| AEH770 | KWAN Yok Bing, Wendy | 關玉冰 | RE | Dealing in Securities | 2004-07-06 | 2006-05-30 |
| AEI005 | DASTE II Ferrell Emanuel | RE | Dealing in Securities | 2005-10-13 | 2008-01-30 | |
| AEI011 | CLEARY Matthew Dolan | RE | Dealing in Securities | 2007-12-28 | 2008-06-30 | |
| AEL989 | SUE Kenneth | 蘇其暉 | RE | Dealing in Securities | 2003-04-01 | 2006-03-28 |
| AEL989 | SUE Kenneth | 蘇其暉 | RO | Dealing in Securities | 2006-03-28 | 2006-06-27 |
| AEL989 | SUE Kenneth | 蘇其暉 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AEL989 | SUE Kenneth | 蘇其暉 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AEL989 | SUE Kenneth | 蘇其暉 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AEM184 | GUPTA Pratik | RE | Dealing in Securities | 2011-08-29 | ||
| AEM242 | WANG Rowena | 王允慧 | RO | Advising on Corporate Finance | 2012-03-02 | |
| AEM607 | CHEUNG Wing Kei, Winnie | 張詠琪 | RE | Dealing in Securities | 2005-02-17 | 2008-12-05 |
| AEM866 | WOO Fong Fong, Janet | 胡渢渢 | RE | Dealing in Securities | 2003-04-01 | |
| AEM866 | WOO Fong Fong, Janet | 胡渢渢 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AEM866 | WOO Fong Fong, Janet | 胡渢渢 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AEM866 | WOO Fong Fong, Janet | 胡渢渢 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AEN687 | CHU Pak Ning, Patrick | 朱柏寧 | RE | Dealing in Securities | 2005-05-09 | 2010-04-24 |
| AEO696 | CHEN Chien-yao | 陳建堯 | RE | Dealing in Securities | 2007-03-05 | 2008-01-17 |
| AEO780 | CHANDLER Benjamin Victor Michael | RE | Dealing in Securities | 2003-08-18 | 2011-03-30 | |
| AEO780 | CHANDLER Benjamin Victor Michael | RE | Dealing in Futures Contracts | 2004-06-24 | 2011-03-30 | |
| AEO780 | CHANDLER Benjamin Victor Michael | RE | Providing Automated Trading Services | 2010-06-23 | 2011-03-30 | |
| AEP413 | LIEDTKE Boris Nikolaj | RE | Dealing in Securities | 2003-04-01 | 2005-03-04 | |
| AEP413 | LIEDTKE Boris Nikolaj | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AEP413 | LIEDTKE Boris Nikolaj | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AEP413 | LIEDTKE Boris Nikolaj | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2003-04-01 | 2003-06-26 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2007-10-08 | 2007-11-08 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2008-02-11 | 2008-02-18 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2008-03-25 | 2008-04-25 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2009-07-03 | 2009-07-08 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2010-04-22 | 2010-04-25 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2010-11-22 | 2010-11-26 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2011-02-22 | 2011-02-28 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2011-09-16 | 2011-09-20 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2012-03-27 | 2012-03-29 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2012-06-18 | 2012-06-19 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2012-11-06 | 2012-11-08 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2013-05-24 | 2013-05-28 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2013-08-20 | 2013-08-23 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2014-03-24 | 2014-03-28 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2014-05-05 | 2014-05-09 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2015-03-11 | 2015-03-13 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2015-06-15 | 2015-06-17 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2015-10-16 | 2015-10-20 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2017-11-13 | 2017-11-16 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2018-05-15 | 2018-05-18 | |
| AEP603 | SUMMERFIELD David Angus | RE | Dealing in Securities | 2018-11-02 | 2018-11-07 | |
| AEP603 | SUMMERFIELD David Angus | RE | Advising on Securities | 2003-04-01 | 2003-06-26 | |
| AEP603 | SUMMERFIELD David Angus | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-26 | |
| AEP603 | SUMMERFIELD David Angus | RE | Asset Management | 2003-04-01 | 2003-06-26 | |
| AEQ086 | LUK Yin Man | 陸燕雯 | RE | Dealing in Securities | 2008-08-27 | 2012-09-05 |
| AES247 | KONG Yan Yee Rita | 江欣兒 | RE | Dealing in Securities | 2003-04-01 | 2011-03-05 |
| AES247 | KONG Yan Yee Rita | 江欣兒 | RE | Dealing in Futures Contracts | 2004-06-24 | 2011-03-05 |
| AES247 | KONG Yan Yee Rita | 江欣兒 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AES247 | KONG Yan Yee Rita | 江欣兒 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AES247 | KONG Yan Yee Rita | 江欣兒 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AES843 | KING Hubert Duncan | 金汶椿 | RE | Dealing in Securities | 2003-04-01 | 2015-06-08 |
| AES843 | KING Hubert Duncan | 金汶椿 | RE | Dealing in Futures Contracts | 2006-06-09 | 2015-06-08 |
| AES843 | KING Hubert Duncan | 金汶椿 | RE | Advising on Securities | 2003-04-01 | 2015-06-08 |
| AES843 | KING Hubert Duncan | 金汶椿 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AES843 | KING Hubert Duncan | 金汶椿 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AEU332 | CHANG Hui Na | 張惠娜 | RE | Dealing in Securities | 2003-04-01 | 2006-04-13 |
| AEU332 | CHANG Hui Na | 張惠娜 | RE | Dealing in Futures Contracts | 2004-06-24 | 2006-04-13 |
| AEU332 | CHANG Hui Na | 張惠娜 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AEU332 | CHANG Hui Na | 張惠娜 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AEU332 | CHANG Hui Na | 張惠娜 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AEW911 | YU Bella Hoi Ying | 余凱凝 | RE | Dealing in Securities | 2004-03-09 | 2004-05-31 |
| AEX047 | TAN Guat Cheng Maureen | RE | Advising on Securities | 2003-04-01 | 2008-02-22 | |
| AEX047 | TAN Guat Cheng Maureen | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AEX047 | TAN Guat Cheng Maureen | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AEX593 | CHAN Edmund Wing Hong | 陳永康 | RE | Dealing in Securities | 2003-09-11 | 2011-06-30 |
| AEX593 | CHAN Edmund Wing Hong | 陳永康 | RE | Dealing in Futures Contracts | 2004-05-28 | 2011-06-30 |
| AEX674 | TAN Jushin Kenneth | RE | Dealing in Securities | 2003-04-01 | 2005-01-07 | |
| AEX674 | TAN Jushin Kenneth | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AEX674 | TAN Jushin Kenneth | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AEX674 | TAN Jushin Kenneth | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AEY560 | HURST Richard Mark | RE | Dealing in Securities | 2005-02-14 | 2007-04-21 | |
| AEY997 | JEONG Joseph Chu | RE | Dealing in Securities | 2003-10-31 | 2005-09-30 | |
| AEZ487 | ALBRECHT Frank Oliver | RE | Dealing in Securities | 2003-04-01 | 2004-07-28 | |
| AEZ487 | ALBRECHT Frank Oliver | RE | Advising on Securities | 2003-04-01 | 2004-04-17 | |
| AEZ487 | ALBRECHT Frank Oliver | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AEZ487 | ALBRECHT Frank Oliver | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AFC278 | CHUE Chee Tang | RE | Dealing in Securities | 2003-04-01 | 2009-01-01 | |
| AFC278 | CHUE Chee Tang | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AFC278 | CHUE Chee Tang | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AFC278 | CHUE Chee Tang | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AFC401 | WONG Lai Man | 王麗雯 | RE | Dealing in Securities | 2007-06-05 | 2015-06-01 |
| AFC433 | YEUNG Kei Yuen | 楊紀元 | RE | Dealing in Securities | 2006-06-08 | 2008-03-19 |
| AFC781 | CHENG Miu Ling | 鄭妙玲 | RE | Dealing in Securities | 2003-04-01 | 2003-10-29 |
| AFC781 | CHENG Miu Ling | 鄭妙玲 | RE | Advising on Securities | 2003-04-01 | 2003-10-29 |
| AFC781 | CHENG Miu Ling | 鄭妙玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-10-29 |
| AFC781 | CHENG Miu Ling | 鄭妙玲 | RE | Asset Management | 2003-04-01 | 2003-10-29 |
| AFE094 | KOO Hung Yuan, Kevin | 顧弘源 | RE | Dealing in Securities | 2003-04-01 | 2005-04-27 |
| AFE094 | KOO Hung Yuan, Kevin | 顧弘源 | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-04-27 |
| AFE094 | KOO Hung Yuan, Kevin | 顧弘源 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AFE094 | KOO Hung Yuan, Kevin | 顧弘源 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AFE094 | KOO Hung Yuan, Kevin | 顧弘源 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AFE956 | NEO Chye Lian | RE | Dealing in Securities | 2003-04-01 | 2006-12-31 | |
| AFE956 | NEO Chye Lian | RE | Advising on Securities | 2003-04-01 | 2004-04-17 | |
| AFE956 | NEO Chye Lian | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AFE956 | NEO Chye Lian | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AFF227 | LI Pak Lin, Sandy | 李白蓮 | RE | Dealing in Securities | 2003-04-01 | 2006-07-10 |
| AFF227 | LI Pak Lin, Sandy | 李白蓮 | RE | Advising on Securities | 2003-04-01 | 2006-07-10 |
| AFF227 | LI Pak Lin, Sandy | 李白蓮 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AFF227 | LI Pak Lin, Sandy | 李白蓮 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AFG800 | MURPHY David James | RE | Dealing in Securities | 2009-09-14 | 2010-04-28 | |
| AFG800 | MURPHY David James | RO | Dealing in Securities | 2010-04-28 | 2011-09-09 | |
| AFG800 | MURPHY David James | RE | Dealing in Futures Contracts | 2009-09-14 | 2011-09-09 | |
| AFG800 | MURPHY David James | RE | Advising on Securities | 2009-09-14 | 2010-04-28 | |
| AFG800 | MURPHY David James | RO | Advising on Securities | 2010-04-28 | 2011-09-09 | |
| AFG800 | MURPHY David James | RE | Advising on Futures Contracts | 2009-09-14 | 2011-09-09 | |
| AFH192 | CHUI Chi-sun | 徐志真 | RE | Dealing in Securities | 2004-07-16 | 2005-08-30 |
| AFH192 | CHUI Chi-sun | 徐志真 | RE | Dealing in Futures Contracts | 2004-07-16 | 2005-08-30 |
| AFJ245 | LEPSOE Robert Christopher | 洛泰思 | RE | Dealing in Securities | 2007-09-19 | 2008-12-13 |
| AFJ906 | SADLER Simon Peter | RO | Dealing in Securities | 2003-04-01 | 2004-05-10 | |
| AFJ968 | COX Jason Ralph | RE | Advising on Corporate Finance | 2016-04-21 | ||
| AFM190 | LAU Yen Hou, Alexander | 劉恩浩 | RE | Dealing in Securities | 2003-04-01 | 2006-06-05 |
| AFM190 | LAU Yen Hou, Alexander | 劉恩浩 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AFM190 | LAU Yen Hou, Alexander | 劉恩浩 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AFM190 | LAU Yen Hou, Alexander | 劉恩浩 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AFM321 | SUN Cheuk Wa | 孫卓華 | RE | Dealing in Securities | 2005-07-06 | 2012-09-05 |
| AFM599 | NGIE Chuen Shun | 倪傳順 | RO | Advising on Corporate Finance | 2012-03-02 | |
| AFM847 | CHOW Thomas | 周少民 | RE | Dealing in Securities | 2006-04-24 | 2008-08-30 |
| AFP510 | MIRPURI Joseph Gul | RE | Dealing in Securities | 2005-07-21 | 2007-03-12 | |
| AFP510 | MIRPURI Joseph Gul | RE | Advising on Securities | 2005-07-21 | 2007-03-12 | |
| AFQ325 | AVIS Stephane Louis Edmond | RE | Dealing in Securities | 2013-04-23 | 2013-06-25 | |
| AFQ325 | AVIS Stephane Louis Edmond | RE | Dealing in Securities | 2013-07-05 | 2014-04-11 | |
| AFQ325 | AVIS Stephane Louis Edmond | RO | Dealing in Securities | 2014-04-11 | 2017-08-24 | |
| AFQ325 | AVIS Stephane Louis Edmond | RE | Dealing in Futures Contracts | 2013-04-23 | 2013-06-25 | |
| AFQ325 | AVIS Stephane Louis Edmond | RE | Dealing in Futures Contracts | 2013-07-05 | 2014-04-11 | |
| AFQ325 | AVIS Stephane Louis Edmond | RO | Dealing in Futures Contracts | 2014-04-11 | 2017-08-24 | |
| AFQ486 | MA Sin Chi | 馬善智 | RE | Dealing in Securities | 2004-08-09 | 2010-04-20 |
| AFQ486 | MA Sin Chi | 馬善智 | RO | Dealing in Securities | 2010-04-20 | 2012-01-06 |
| AFQ486 | MA Sin Chi | 馬善智 | RE | Dealing in Futures Contracts | 2004-08-09 | 2010-04-20 |
| AFQ486 | MA Sin Chi | 馬善智 | RO | Dealing in Futures Contracts | 2010-04-20 | 2012-01-06 |
| AFQ486 | MA Sin Chi | 馬善智 | RO | Advising on Securities | 2010-04-20 | 2012-01-06 |
| AFQ486 | MA Sin Chi | 馬善智 | RO | Advising on Futures Contracts | 2010-04-20 | 2012-01-06 |
| AFS526 | WONG Timothy Tin Wai | 黃天維 | RE | Dealing in Securities | 2004-04-15 | 2008-09-18 |
| AFS526 | WONG Timothy Tin Wai | 黃天維 | RE | Dealing in Futures Contracts | 2006-06-08 | 2008-09-18 |
| AFT499 | TIFFIN Philip John | RE | Dealing in Securities | 2010-09-27 | 2014-12-02 | |
| AFT499 | TIFFIN Philip John | RE | Dealing in Futures Contracts | 2010-09-27 | 2013-05-24 | |
| AFT499 | TIFFIN Philip John | RE | Providing Automated Trading Services | 2010-09-27 | 2013-03-06 | |
| AFT604 | LAW Ernest Kwan Hon | 羅君瀚 | RE | Dealing in Securities | 2003-04-01 | 2004-08-16 |
| AFT604 | LAW Ernest Kwan Hon | 羅君瀚 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AFT604 | LAW Ernest Kwan Hon | 羅君瀚 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AFT604 | LAW Ernest Kwan Hon | 羅君瀚 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AFT822 | STEPHENS John William | RE | Advising on Futures Contracts | 2017-05-17 | 2017-12-15 | |
| AFT822 | STEPHENS John William | RO | Advising on Futures Contracts | 2017-12-15 | ||
| AFT910 | SAYER David Michael | RE | Dealing in Securities | 2004-06-10 | 2005-09-12 | |
| AFT942 | TSEA Po Kwan | 謝寶君 | RE | Advising on Corporate Finance | 2014-07-18 | 2017-07-07 |
| AFU262 | MITHRAN Girish | RE | Dealing in Securities | 2012-06-26 | 2014-04-22 | |
| AFU262 | MITHRAN Girish | RO | Dealing in Securities | 2014-04-22 | 2016-03-01 | |
| AFU262 | MITHRAN Girish | RE | Dealing in Futures Contracts | 2012-06-26 | 2014-04-22 | |
| AFU262 | MITHRAN Girish | RO | Dealing in Futures Contracts | 2014-04-22 | 2016-03-01 | |
| AFU388 | KWONG Marcus Mann | 鄺孟芹 | RE | Dealing in Securities | 2009-06-29 | |
| AFU388 | KWONG Marcus Mann | 鄺孟芹 | RE | Dealing in Futures Contracts | 2009-06-29 | |
| AFU388 | KWONG Marcus Mann | 鄺孟芹 | RE | Providing Automated Trading Services | 2010-06-23 | 2013-03-06 |
| AFU718 | WONG Yuen Ching | 黃元正 | RE | Advising on Corporate Finance | 2015-10-20 | |
| AFV353 | FANG Chih-Shang | 方至善 | RE | Dealing in Securities | 2007-04-11 | 2007-11-16 |
| AFV353 | FANG Chih-Shang | 方至善 | RE | Advising on Securities | 2007-04-11 | 2007-11-16 |
| AFW864 | LAU Yin Chi, Stephanie | 劉盈志 | RE | Dealing in Securities | 2012-06-04 | 2014-03-01 |
| AFW864 | LAU Yin Chi, Stephanie | 劉盈志 | RE | Providing Automated Trading Services | 2012-06-04 | 2014-03-01 |
| AFX502 | CHEUNG Ka Che | 張家熾 | RE | Dealing in Securities | 2005-07-27 | 2009-06-24 |
| AFX502 | CHEUNG Ka Che | 張家熾 | RE | Advising on Securities | 2005-07-27 | 2009-06-24 |
| AFX745 | JAYCOCK Ian Richard | RE | Dealing in Securities | 2003-04-01 | 2004-01-08 | |
| AFX745 | JAYCOCK Ian Richard | RE | Advising on Securities | 2003-04-01 | 2004-01-08 | |
| AFX745 | JAYCOCK Ian Richard | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AFX745 | JAYCOCK Ian Richard | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AFY697 | NG Tao, Eddie | 吳濤 | RE | Dealing in Securities | 2017-07-10 | |
| AFY697 | NG Tao, Eddie | 吳濤 | RE | Dealing in Futures Contracts | 2017-07-10 | |
| AFY704 | CHONG Chyi Yiing Alyce | RE | Dealing in Securities | 2003-04-01 | 2006-04-05 | |
| AFY704 | CHONG Chyi Yiing Alyce | RE | Advising on Securities | 2003-04-01 | 2006-04-05 | |
| AFY704 | CHONG Chyi Yiing Alyce | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AFY704 | CHONG Chyi Yiing Alyce | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AFY753 | HO Daniel King Wah | 何景華 | RE | Dealing in Securities | 2004-08-02 | 2006-07-07 |
| AFY753 | HO Daniel King Wah | 何景華 | RE | Dealing in Futures Contracts | 2004-08-02 | 2006-07-07 |
| AFY824 | LAI King Chi | 黎敬之 | RE | Advising on Corporate Finance | 2012-03-05 | 2013-07-29 |
| AFY824 | LAI King Chi | 黎敬之 | RO | Advising on Corporate Finance | 2013-07-29 | 2014-03-26 |
| AGB889 | HUI Ho Kuen | 許浩權 | RE | Dealing in Securities | 2003-04-01 | 2007-05-19 |
| AGB889 | HUI Ho Kuen | 許浩權 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AGB889 | HUI Ho Kuen | 許浩權 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AGB889 | HUI Ho Kuen | 許浩權 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AGB890 | SHAW Natalie Ann | RE | Dealing in Securities | 2003-04-01 | 2003-06-25 | |
| AGB890 | SHAW Natalie Ann | RE | Advising on Securities | 2003-04-01 | 2003-06-25 | |
| AGB890 | SHAW Natalie Ann | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-25 | |
| AGB890 | SHAW Natalie Ann | RE | Asset Management | 2003-04-01 | 2003-06-25 | |
| AGD017 | MANN Patrick William | RE | Dealing in Securities | 2007-11-30 | 2007-12-30 | |
| AGD976 | FREEMAN Daniel Marc | RE | Dealing in Securities | 2007-08-21 | 2008-07-17 | |
| AGD976 | FREEMAN Daniel Marc | RE | Dealing in Futures Contracts | 2007-08-21 | 2008-07-17 | |
| AGE018 | YAU Kwok Wing, Tony | 邱國榮 | RO | Advising on Corporate Finance | 2012-03-02 | 2016-12-07 |
| AGE134 | ANG Bee Leng | RE | Dealing in Securities | 2003-04-01 | 2008-06-05 | |
| AGE134 | ANG Bee Leng | RE | Advising on Securities | 2003-04-01 | 2008-06-05 | |
| AGE134 | ANG Bee Leng | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGE134 | ANG Bee Leng | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGF152 | LEE Yuan Tse, Edward | 李淵智 | RE | Advising on Corporate Finance | 2018-08-27 | 2018-11-26 |
| AGF152 | LEE Yuan Tse, Edward | 李淵智 | RE | Advising on Corporate Finance | 2018-12-05 | |
| AGF159 | LAU Yue Che, Adam | 劉宇池 | RE | Dealing in Securities | 2007-04-02 | 2014-08-09 |
| AGF159 | LAU Yue Che, Adam | 劉宇池 | RE | Dealing in Futures Contracts | 2007-04-02 | 2008-04-02 |
| AGH130 | LI Chun, Elsy | 李雋 | RE | Advising on Corporate Finance | 2012-03-05 | 2014-08-13 |
| AGH147 | KWOK Ngan Ting, Isabella | 郭雁婷 | RE | Dealing in Securities | 2009-10-29 | 2018-05-08 |
| AGH852 | SIM Soo Yee, Sharon Anne | RE | Dealing in Securities | 2003-04-01 | 2005-07-22 | |
| AGH852 | SIM Soo Yee, Sharon Anne | RE | Advising on Securities | 2003-04-01 | 2005-07-22 | |
| AGH852 | SIM Soo Yee, Sharon Anne | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGH852 | SIM Soo Yee, Sharon Anne | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGH928 | WONG Yun Kit, Ingrid | 黃欣潔 | RE | Dealing in Securities | 2005-06-24 | 2009-04-01 |
| AGJ649 | NICHOLS David | RE | Dealing in Securities | 2003-04-01 | 2006-08-11 | |
| AGJ649 | NICHOLS David | RE | Advising on Securities | 2003-04-01 | 2006-08-11 | |
| AGJ649 | NICHOLS David | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGJ649 | NICHOLS David | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGK088 | NG Wing Sum, Agnes | 吳詠芯 | RE | Advising on Securities | 2004-10-14 | 2005-03-14 |
| AGK114 | MAC CARTHY Denis | RE | Dealing in Securities | 2003-06-09 | 2004-11-25 | |
| AGK114 | MAC CARTHY Denis | RO | Dealing in Securities | 2004-11-25 | 2009-12-11 | |
| AGK114 | MAC CARTHY Denis | RO | Dealing in Futures Contracts | 2004-01-08 | 2009-12-11 | |
| AGK114 | MAC CARTHY Denis | RO | Advising on Securities | 2009-03-27 | 2009-12-11 | |
| AGK114 | MAC CARTHY Denis | RO | Advising on Futures Contracts | 2004-01-08 | 2009-12-11 | |
| AGL136 | LI Zhifa | 李志法 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-09-08 |
| AGL150 | KAPUR Kanak Kamal | RE | Dealing in Securities | 2003-04-01 | 2006-12-28 | |
| AGL150 | KAPUR Kanak Kamal | RE | Dealing in Futures Contracts | 2004-06-24 | 2006-12-28 | |
| AGL150 | KAPUR Kanak Kamal | RE | Advising on Securities | 2003-04-01 | 2004-04-17 | |
| AGL150 | KAPUR Kanak Kamal | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGL150 | KAPUR Kanak Kamal | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGL793 | EMERSON Nathan Devereux | RE | Dealing in Securities | 2003-04-01 | 2003-06-01 | |
| AGL793 | EMERSON Nathan Devereux | RE | Advising on Securities | 2003-04-01 | 2003-06-01 | |
| AGL793 | EMERSON Nathan Devereux | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-01 | |
| AGL793 | EMERSON Nathan Devereux | RE | Asset Management | 2003-04-01 | 2003-06-01 | |
| AGL896 | WHITFIELD Charles Bernard Francis | 查韋斐 | RE | Dealing in Securities | 2003-04-01 | 2006-05-09 |
| AGL896 | WHITFIELD Charles Bernard Francis | 查韋斐 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AGL896 | WHITFIELD Charles Bernard Francis | 查韋斐 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AGL896 | WHITFIELD Charles Bernard Francis | 查韋斐 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AGM902 | YU Hiu To | 余曉濤 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-06-15 |
| AGN555 | CHAN Pui Ching | 陳佩貞 | RE | Advising on Securities | 2005-01-25 | 2006-04-10 |
| AGN574 | ERRO Davide G. | RE | Dealing in Securities | 2003-12-09 | 2005-04-25 | |
| AGN574 | ERRO Davide G. | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-04-25 | |
| AGN600 | NGUYEN Hoang-Nam Phan | RE | Dealing in Securities | 2007-03-12 | 2008-08-09 | |
| AGN600 | NGUYEN Hoang-Nam Phan | RE | Dealing in Futures Contracts | 2007-03-12 | 2008-04-10 | |
| AGN692 | WONG Ka Ku, Frankie | 王加駒 | RE | Dealing in Securities | 2007-05-17 | 2008-12-05 |
| AGN786 | QIN Jing | 秦靖 | RE | Advising on Corporate Finance | 2012-03-05 | 2013-02-09 |
| AGN920 | CHANG Michael Yio-how | 張祐豪 | RE | Dealing in Securities | 2006-07-10 | 2011-06-24 |
| AGN920 | CHANG Michael Yio-how | 張祐豪 | RE | Dealing in Futures Contracts | 2006-07-10 | 2011-06-24 |
| AGO243 | LEE Danny Yiu Fai | 李耀輝 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-05-03 |
| AGO243 | LEE Danny Yiu Fai | 李耀輝 | RO | Advising on Corporate Finance | 2012-05-03 | 2012-06-30 |
| AGO591 | GUO Rui | 郭睿 | RE | Advising on Corporate Finance | 2012-03-05 | 2015-08-01 |
| AGO822 | PETER Edouard Fernen | RO | Dealing in Securities | 2003-04-01 | 2005-08-12 | |
| AGO822 | PETER Edouard Fernen | RO | Advising on Securities | 2003-04-01 | 2005-08-12 | |
| AGO822 | PETER Edouard Fernen | RO | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGO822 | PETER Edouard Fernen | RO | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGO825 | HARRIS Stephen Paul | RO | Dealing in Securities | 2003-04-01 | 2005-08-12 | |
| AGO825 | HARRIS Stephen Paul | RO | Advising on Securities | 2003-04-01 | 2005-08-12 | |
| AGO825 | HARRIS Stephen Paul | RO | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGO825 | HARRIS Stephen Paul | RO | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGP513 | PANDIT Ashok | RO | Advising on Corporate Finance | 2012-03-02 | 2014-11-19 | |
| AGP529 | LIU Hiu Lau | 廖曉柳 | RE | Advising on Corporate Finance | 2012-03-29 | 2013-10-12 |
| AGP868 | CHAKRAVORTY Ananda | RE | Advising on Corporate Finance | 2012-03-05 | 2017-10-23 | |
| AGR372 | ALEXANDER Michael Lewis | RE | Dealing in Securities | 2003-04-01 | 2004-11-16 | |
| AGR372 | ALEXANDER Michael Lewis | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AGR372 | ALEXANDER Michael Lewis | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGR372 | ALEXANDER Michael Lewis | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGU143 | CHANG Yung Kang, Peter | 張永康 | RE | Dealing in Securities | 2004-07-13 | 2008-09-11 |
| AGV336 | CHAU Yiu Man, Kenneth | 周耀文 | RE | Dealing in Securities | 2003-04-01 | 2005-08-30 |
| AGV336 | CHAU Yiu Man, Kenneth | 周耀文 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AGV336 | CHAU Yiu Man, Kenneth | 周耀文 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AGV336 | CHAU Yiu Man, Kenneth | 周耀文 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AGV338 | CHUNG Ji Young | RE | Dealing in Securities | 2003-04-01 | 2011-10-07 | |
| AGV338 | CHUNG Ji Young | RE | Advising on Securities | 2003-04-01 | 2011-10-07 | |
| AGV338 | CHUNG Ji Young | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AGV338 | CHUNG Ji Young | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AGX675 | FORD Melvyn Guy | RE | Dealing in Securities | 2003-04-01 | 2003-11-18 | |
| AGX675 | FORD Melvyn Guy | RE | Advising on Securities | 2003-04-01 | 2003-10-27 | |
| AGX675 | FORD Melvyn Guy | RE | Advising on Corporate Finance | 2003-04-01 | 2003-10-27 | |
| AGX675 | FORD Melvyn Guy | RE | Asset Management | 2003-04-01 | 2003-10-27 | |
| AHA183 | LEE Youn Wen | RE | Dealing in Securities | 2003-04-01 | 2018-11-11 | |
| AHA183 | LEE Youn Wen | RE | Advising on Securities | 2003-04-01 | 2004-04-17 | |
| AHA183 | LEE Youn Wen | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHA183 | LEE Youn Wen | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHA185 | LUI Sieu Weng, Gregory | RE | Advising on Securities | 2003-04-01 | 2009-03-12 | |
| AHA185 | LUI Sieu Weng, Gregory | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHA185 | LUI Sieu Weng, Gregory | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHA574 | SEE Buay Lan | RE | Dealing in Securities | 2003-04-01 | 2004-01-27 | |
| AHA574 | SEE Buay Lan | RE | Advising on Securities | 2003-04-01 | 2004-01-27 | |
| AHA574 | SEE Buay Lan | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHA574 | SEE Buay Lan | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Dealing in Securities | 2003-04-01 | 2004-04-01 |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Advising on Securities | 2003-04-01 | 2004-04-01 |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AHA576 | YOON Jerry Chan | 尹燦 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AHA619 | ALEXANDER Sean Philip | 白影子 | RE | Dealing in Securities | 2003-04-01 | 2006-02-28 |
| AHA619 | ALEXANDER Sean Philip | 白影子 | RE | Advising on Securities | 2003-04-01 | 2006-02-28 |
| AHA619 | ALEXANDER Sean Philip | 白影子 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AHA619 | ALEXANDER Sean Philip | 白影子 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AHC183 | ROTH Gunther James | RE | Advising on Corporate Finance | 2012-03-29 | 2014-04-01 | |
| AHC197 | TAY Mei Yuen | RE | Dealing in Securities | 2003-04-01 | 2005-04-20 | |
| AHC197 | TAY Mei Yuen | RE | Dealing in Securities | 2007-10-15 | 2011-09-22 | |
| AHC197 | TAY Mei Yuen | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AHC197 | TAY Mei Yuen | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHC197 | TAY Mei Yuen | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHC322 | WU Henry Gang | 吳剛 | RE | Dealing in Securities | 2007-08-13 | 2009-10-14 |
| AHC322 | WU Henry Gang | 吳剛 | RE | Dealing in Futures Contracts | 2007-08-13 | 2009-10-14 |
| AHC475 | APABHAI Mohammed Zuned | RE | Dealing in Securities | 2003-04-01 | 2006-06-26 | |
| AHC475 | APABHAI Mohammed Zuned | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AHC475 | APABHAI Mohammed Zuned | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHC475 | APABHAI Mohammed Zuned | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHD684 | CHEN Lan | 陳嵐 | RE | Advising on Corporate Finance | 2012-03-26 | 2017-05-25 |
| AHF355 | SMALLER Daniel Scott | RE | Dealing in Securities | 2003-04-01 | 2005-06-09 | |
| AHF355 | SMALLER Daniel Scott | RE | Advising on Securities | 2003-04-01 | 2005-06-09 | |
| AHF355 | SMALLER Daniel Scott | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHF355 | SMALLER Daniel Scott | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHF464 | CHAN Wai Chi | 陳慧芝 | RE | Dealing in Securities | 2005-03-21 | 2006-03-14 |
| AHF765 | BHAMMER Vishal Mahendra Kumar | RE | Dealing in Securities | 2003-08-06 | 2005-05-25 | |
| AHF765 | BHAMMER Vishal Mahendra Kumar | RE | Advising on Securities | 2004-02-02 | 2005-05-25 | |
| AHF798 | HAN William Wei-Lee | RE | Dealing in Securities | 2003-04-01 | 2003-10-15 | |
| AHF798 | HAN William Wei-Lee | RE | Advising on Securities | 2003-04-01 | 2003-10-15 | |
| AHF798 | HAN William Wei-Lee | RE | Advising on Corporate Finance | 2003-04-01 | 2003-10-15 | |
| AHF798 | HAN William Wei-Lee | RE | Asset Management | 2003-04-01 | 2003-10-15 | |
| AHI788 | WIJAYA Annie | RE | Dealing in Securities | 2003-04-01 | 2006-04-24 | |
| AHI788 | WIJAYA Annie | RE | Advising on Securities | 2003-04-01 | 2004-04-17 | |
| AHI788 | WIJAYA Annie | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHI788 | WIJAYA Annie | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHL612 | MIZOGUCHI Hironori | RE | Dealing in Securities | 2004-04-13 | 2008-12-05 | |
| AHL612 | MIZOGUCHI Hironori | RE | Advising on Securities | 2004-04-13 | 2008-12-05 | |
| AHL733 | KWOK Tak Kei, Dickie | 郭德祺 | RE | Dealing in Securities | 2003-04-01 | 2004-07-28 |
| AHL733 | KWOK Tak Kei, Dickie | 郭德祺 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AHL733 | KWOK Tak Kei, Dickie | 郭德祺 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AHL733 | KWOK Tak Kei, Dickie | 郭德祺 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AHQ348 | HOSIE Neil Cameron | RE | Dealing in Securities | 2004-07-02 | 2009-03-26 | |
| AHQ348 | HOSIE Neil Cameron | RO | Dealing in Securities | 2009-03-26 | 2017-03-31 | |
| AHQ348 | HOSIE Neil Cameron | RO | Advising on Securities | 2009-05-13 | 2017-03-31 | |
| AHQ348 | HOSIE Neil Cameron | RO | Providing Automated Trading Services | 2010-04-16 | 2017-03-31 | |
| AHQ837 | LALLY Harprit Singh | RE | Dealing in Securities | 2003-04-01 | 2005-10-01 | |
| AHQ837 | LALLY Harprit Singh | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-10-01 | |
| AHQ837 | LALLY Harprit Singh | RE | Advising on Securities | 2003-04-01 | 2005-02-14 | |
| AHQ837 | LALLY Harprit Singh | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AHQ837 | LALLY Harprit Singh | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RE | Dealing in Securities | 2017-06-20 | 2017-12-12 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RO | Dealing in Securities | 2017-12-12 | 2018-10-14 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RE | Dealing in Futures Contracts | 2017-06-20 | 2017-12-12 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RO | Dealing in Futures Contracts | 2017-12-12 | 2018-10-14 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RE | Advising on Securities | 2017-06-20 | 2017-12-12 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RO | Advising on Securities | 2017-12-12 | 2018-10-14 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RE | Advising on Futures Contracts | 2017-06-20 | 2017-12-12 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RO | Advising on Futures Contracts | 2017-12-12 | 2018-10-14 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RE | Providing Automated Trading Services | 2017-06-20 | 2017-12-12 | |
| AHR321 | COHEN-ADDAD Nicolas Paul | RO | Providing Automated Trading Services | 2017-12-12 | 2018-10-14 | |
| AHR672 | TSAI Jack Du | 蔡篤傑 | RE | Dealing in Securities | 2006-05-29 | 2009-07-22 |
| AHS154 | PACHL Franz Michael | RE | Dealing in Securities | 2003-04-01 | 2003-06-25 | |
| AHS154 | PACHL Franz Michael | RE | Advising on Securities | 2003-04-01 | 2003-06-25 | |
| AHS154 | PACHL Franz Michael | RE | Advising on Corporate Finance | 2003-04-01 | 2003-06-25 | |
| AHS154 | PACHL Franz Michael | RE | Asset Management | 2003-04-01 | 2003-06-25 | |
| AHU756 | BARFORD Adrian Thomas | RE | Dealing in Securities | 2004-05-11 | 2005-07-05 | |
| AHU756 | BARFORD Adrian Thomas | RE | Dealing in Futures Contracts | 2004-05-11 | 2005-07-05 | |
| AHX629 | KAMAN Yashraj | RE | Advising on Corporate Finance | 2012-03-05 | 2015-08-04 | |
| AHY083 | LUI Chun Wai Jervis | 呂俊為 | RE | Dealing in Securities | 2003-11-14 | 2004-06-24 |
| AHY083 | LUI Chun Wai Jervis | 呂俊為 | RE | Dealing in Futures Contracts | 2004-03-30 | 2004-06-24 |
| AIB112 | SHEN Li Ang, Lyon | 沈歷昂 | RE | Dealing in Securities | 2003-04-01 | 2003-07-10 |
| AIB112 | SHEN Li Ang, Lyon | 沈歷昂 | RE | Advising on Securities | 2003-04-01 | 2003-07-10 |
| AIB112 | SHEN Li Ang, Lyon | 沈歷昂 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-10 |
| AIB112 | SHEN Li Ang, Lyon | 沈歷昂 | RE | Asset Management | 2003-04-01 | 2003-07-10 |
| AIB690 | TSANG Ka Li | 曾嘉莉 | RE | Dealing in Securities | 2004-08-09 | 2012-01-10 |
| AIB690 | TSANG Ka Li | 曾嘉莉 | RE | Advising on Securities | 2005-05-18 | 2012-01-10 |
| AIB930 | YEOH David | 姚崇照 | RE | Dealing in Securities | 2003-04-01 | 2007-05-09 |
| AIB930 | YEOH David | 姚崇照 | RE | Advising on Securities | 2003-04-01 | 2004-04-17 |
| AIB930 | YEOH David | 姚崇照 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AIB930 | YEOH David | 姚崇照 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AIB976 | CHUY KON Alejandro Jose | RE | Dealing in Securities | 2003-04-01 | 2007-04-14 | |
| AIB976 | CHUY KON Alejandro Jose | RE | Advising on Securities | 2003-04-01 | 2004-04-16 | |
| AIB976 | CHUY KON Alejandro Jose | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AIB976 | CHUY KON Alejandro Jose | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AIC041 | LAU Karen Ga-yun | 劉家欣 | RE | Dealing in Securities | 2003-04-01 | 2007-03-12 |
| AIC041 | LAU Karen Ga-yun | 劉家欣 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AIC041 | LAU Karen Ga-yun | 劉家欣 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AIC041 | LAU Karen Ga-yun | 劉家欣 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AIC497 | CHEN Scott | RE | Advising on Corporate Finance | 2012-03-05 | 2013-12-17 | |
| AIC797 | POON Philip Chung Hein | 潘頌軒 | RE | Dealing in Securities | 2004-07-13 | 2011-02-26 |
| AIC797 | POON Philip Chung Hein | 潘頌軒 | RE | Dealing in Futures Contracts | 2004-08-17 | 2011-02-26 |
| AIG958 | ARROWSMITH Natalie Jane | RE | Dealing in Securities | 2003-04-01 | 2003-07-15 | |
| AIG958 | ARROWSMITH Natalie Jane | RE | Dealing in Securities | 2003-08-14 | 2004-05-31 | |
| AIG958 | ARROWSMITH Natalie Jane | RE | Advising on Securities | 2003-04-01 | 2003-07-15 | |
| AIG958 | ARROWSMITH Natalie Jane | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-15 | |
| AIG958 | ARROWSMITH Natalie Jane | RE | Asset Management | 2003-04-01 | 2003-07-15 | |
| AIH348 | KIM Yong Chan | 金容賛 | RE | Dealing in Securities | 2003-04-01 | 2004-07-28 |
| AIH348 | KIM Yong Chan | 金容賛 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AIH348 | KIM Yong Chan | 金容賛 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AIH348 | KIM Yong Chan | 金容賛 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AIH625 | WONG Ka Hong | 黃家康 | RE | Dealing in Securities | 2003-04-01 | 2004-09-24 |
| AIH625 | WONG Ka Hong | 黃家康 | RE | Advising on Securities | 2003-04-01 | 2004-04-16 |
| AIH625 | WONG Ka Hong | 黃家康 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 |
| AIH625 | WONG Ka Hong | 黃家康 | RE | Asset Management | 2003-04-01 | 2004-01-08 |
| AII261 | TSE Jonathan Chung Hin | 謝仲軒 | RE | Advising on Corporate Finance | 2012-03-05 | 2018-06-29 |
| AIJ129 | HONEGGER Ricardo | RO | Dealing in Securities | 2003-04-01 | 2006-01-01 | |
| AIJ129 | HONEGGER Ricardo | RO | Dealing in Futures Contracts | 2005-06-29 | 2006-01-01 | |
| AIJ129 | HONEGGER Ricardo | RO | Advising on Securities | 2005-05-31 | 2006-01-01 | |
| AIJ129 | HONEGGER Ricardo | RO | Advising on Futures Contracts | 2005-06-29 | 2006-01-01 | |
| AIJ815 | LIM Ai Nar, Catherine | 林愛娜 | RE | Advising on Securities | 2003-04-01 | 2003-07-27 |
| AIJ815 | LIM Ai Nar, Catherine | 林愛娜 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-27 |
| AIJ815 | LIM Ai Nar, Catherine | 林愛娜 | RE | Asset Management | 2003-04-01 | 2003-07-27 |
| AIL062 | FLETCHER Luke | RE | Dealing in Securities | 2006-03-07 | 2007-04-25 | |
| AIL062 | FLETCHER Luke | RE | Dealing in Futures Contracts | 2006-03-07 | 2007-04-25 | |
| AIN756 | HUREWITZ Joel Allan | RE | Dealing in Securities | 2004-03-19 | 2006-03-22 | |
| AIN882 | CHEUNG Kar Man | 張嘉文 | RE | Dealing in Securities | 2005-08-15 | 2008-05-24 |
| AIN882 | CHEUNG Kar Man | 張嘉文 | RE | Dealing in Futures Contracts | 2005-08-15 | 2008-05-24 |
| AIP440 | ABBAS Syed Asad | RE | Dealing in Securities | 2003-04-09 | 2009-10-22 | |
| AIP440 | ABBAS Syed Asad | RE | Dealing in Futures Contracts | 2004-06-24 | 2009-10-22 | |
| AIP440 | ABBAS Syed Asad | RE | Advising on Securities | 2003-04-09 | 2009-10-22 | |
| AIP440 | ABBAS Syed Asad | RE | Advising on Corporate Finance | 2003-04-09 | 2004-01-08 | |
| AIP440 | ABBAS Syed Asad | RE | Asset Management | 2003-04-09 | 2004-01-08 | |
| AIR824 | CHU Peter | RE | Dealing in Securities | 2003-04-01 | 2004-04-07 | |
| AIR824 | CHU Peter | RE | Advising on Securities | 2003-04-01 | 2004-04-07 | |
| AIR824 | CHU Peter | RE | Advising on Corporate Finance | 2003-04-01 | 2004-01-08 | |
| AIR824 | CHU Peter | RE | Asset Management | 2003-04-01 | 2004-01-08 | |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RE | Dealing in Securities | 2003-04-01 | 2003-04-25 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RE | Dealing in Securities | 2003-06-02 | 2011-03-10 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RE | Dealing in Futures Contracts | 2004-06-24 | 2010-06-07 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RO | Dealing in Futures Contracts | 2010-06-07 | 2011-03-10 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RE | Advising on Securities | 2003-04-01 | 2003-04-25 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RO | Advising on Futures Contracts | 2010-06-07 | 2011-03-10 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-25 |
| AIU326 | FUNG Peter Yuk Kuen | 馮旭乾 | RE | Asset Management | 2003-04-01 | 2003-04-25 |
| AIU376 | CHEUNG Lee Na | 張莉娜 | RE | Dealing in Securities | 2003-05-05 | 2004-05-10 |
| AIU376 | CHEUNG Lee Na | 張莉娜 | RE | Advising on Securities | 2003-05-05 | 2004-02-02 |
| AIU376 | CHEUNG Lee Na | 張莉娜 | RE | Advising on Corporate Finance | 2003-05-05 | 2004-01-08 |
| AIU376 | CHEUNG Lee Na | 張莉娜 | RE | Asset Management | 2003-05-05 | 2004-01-08 |
| AIU423 | ROLAND Mathilde Suzanne | RE | Dealing in Securities | 2004-08-06 | 2005-09-29 | |
| AIU423 | ROLAND Mathilde Suzanne | RE | Dealing in Futures Contracts | 2004-08-06 | 2005-09-29 | |
| AIU527 | SZETO Carissa Carol | 司徒加樂 | RE | Dealing in Securities | 2003-05-14 | 2007-11-07 |
| AIU527 | SZETO Carissa Carol | 司徒加樂 | RE | Advising on Securities | 2003-05-14 | 2007-11-07 |
| AIU527 | SZETO Carissa Carol | 司徒加樂 | RE | Advising on Corporate Finance | 2003-05-14 | 2004-01-08 |
| AIU527 | SZETO Carissa Carol | 司徒加樂 | RE | Asset Management | 2003-05-14 | 2004-01-08 |
| AIY949 | DAWES Charlotte Victoria Sohpie | RE | Dealing in Securities | 2003-05-20 | 2003-08-19 | |
| AIZ372 | LEE Cora Oi Yan | 李凱恩 | RE | Dealing in Securities | 2007-06-14 | 2009-03-28 |
| AIZ536 | JAISINGH Rohit | RE | Dealing in Securities | 2010-11-08 | 2010-11-15 | |
| AIZ536 | JAISINGH Rohit | RE | Dealing in Securities | 2010-12-14 | 2012-04-16 | |
| AIZ877 | TRIVEDI Amit Mahendra | RE | Dealing in Securities | 2003-06-03 | 2003-09-08 | |
| AJA485 | OYSON Michaelangelo De Los Reyes | RE | Dealing in Securities | 2003-10-24 | 2010-11-11 | |
| AJA485 | OYSON Michaelangelo De Los Reyes | RE | Advising on Securities | 2003-10-24 | 2010-11-11 | |
| AJB517 | SOHN Seock Woo | RE | Dealing in Securities | 2003-07-09 | 2004-04-23 | |
| AJB996 | HENG Kia Mui | 王加媚 | RE | Dealing in Securities | 2003-07-31 | 2008-06-02 |
| AJB996 | HENG Kia Mui | 王加媚 | RE | Advising on Securities | 2004-02-02 | 2008-06-02 |
| AJC179 | FAN Mingxi | 范明曦 | RE | Dealing in Securities | 2003-07-29 | 2008-07-12 |
| AJC877 | LEPINAY Laurent Henri Francois | RE | Dealing in Securities | 2003-08-12 | 2006-03-01 | |
| AJC877 | LEPINAY Laurent Henri Francois | RE | Dealing in Futures Contracts | 2004-06-24 | 2006-03-01 | |
| AJD184 | WONG Kin Chung | 黃健聰 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-03-13 |
| AJD477 | KENNEDY Frank | RE | Dealing in Securities | 2003-08-25 | 2006-04-10 | |
| AJD477 | KENNEDY Frank | RE | Dealing in Futures Contracts | 2004-06-24 | 2006-04-10 | |
| AJD623 | IZAWA Yukio | RE | Dealing in Securities | 2003-09-02 | 2004-05-31 | |
| AJD624 | CUBELLS Simon James | RE | Dealing in Securities | 2003-09-02 | 2008-12-05 | |
| AJD624 | CUBELLS Simon James | RE | Dealing in Futures Contracts | 2004-06-24 | 2008-12-05 | |
| AJD743 | MIN Brett Jae | RE | Dealing in Securities | 2003-09-19 | 2005-10-10 | |
| AJD743 | MIN Brett Jae | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-10-10 | |
| AJD743 | MIN Brett Jae | RE | Advising on Securities | 2003-09-19 | 2005-10-10 | |
| AJD992 | DAIBO Atsuko | RE | Dealing in Securities | 2003-09-16 | 2005-10-01 | |
| AJD992 | DAIBO Atsuko | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-10-01 | |
| AJE393 | CHI Rui | 遲睿 | RE | Dealing in Securities | 2014-10-22 | 2018-06-29 |
| AJF240 | MCCAFFERTY Gregory Dominic | RE | Dealing in Securities | 2003-10-24 | 2006-11-22 | |
| AJF484 | CONWAY Richard Wing | RE | Dealing in Securities | 2003-11-04 | 2005-10-01 | |
| AJF484 | CONWAY Richard Wing | RE | Dealing in Securities | 2008-07-14 | 2008-10-31 | |
| AJF484 | CONWAY Richard Wing | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-10-01 | |
| AJF484 | CONWAY Richard Wing | RE | Dealing in Futures Contracts | 2008-07-14 | 2008-10-31 | |
| AJF486 | CONSTANTOPOULOS Agamemnon | RE | Dealing in Securities | 2003-11-04 | 2005-07-07 | |
| AJF486 | CONSTANTOPOULOS Agamemnon | RE | Dealing in Futures Contracts | 2004-03-30 | 2005-07-07 | |
| AJG172 | MIRPURI Vishal Nirmaldas | RE | Dealing in Securities | 2010-05-10 | 2012-02-17 | |
| AJG172 | MIRPURI Vishal Nirmaldas | RO | Dealing in Securities | 2012-02-17 | 2017-02-07 | |
| AJG172 | MIRPURI Vishal Nirmaldas | RE | Dealing in Futures Contracts | 2010-05-10 | 2012-02-17 | |
| AJG172 | MIRPURI Vishal Nirmaldas | RO | Dealing in Futures Contracts | 2012-02-17 | 2017-02-07 | |
| AJG195 | EDWARDS Shane Grant | RE | Dealing in Securities | 2003-11-14 | 2005-08-30 | |
| AJH214 | AONO Kikuko | 青野希久子 | RE | Dealing in Securities | 2003-12-09 | 2004-07-21 |
| AJH214 | AONO Kikuko | 青野希久子 | RE | Dealing in Futures Contracts | 2004-06-24 | 2004-07-21 |
| AJH215 | DUGGAN Luke Benjamin | RE | Dealing in Securities | 2003-12-09 | 2004-08-20 | |
| AJH215 | DUGGAN Luke Benjamin | RE | Dealing in Securities | 2004-10-06 | 2005-05-03 | |
| AJH215 | DUGGAN Luke Benjamin | RE | Dealing in Futures Contracts | 2004-06-24 | 2004-08-20 | |
| AJH215 | DUGGAN Luke Benjamin | RE | Dealing in Futures Contracts | 2004-10-06 | 2005-05-03 | |
| AJH217 | CHANG Haeyoon Aileen | 張鏸允 | RE | Dealing in Securities | 2003-12-15 | 2005-05-03 |
| AJH217 | CHANG Haeyoon Aileen | 張鏸允 | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-05-03 |
| AJH221 | UEYAMA Satoshi | 植山敏 | RE | Dealing in Securities | 2003-12-09 | 2005-05-03 |
| AJH221 | UEYAMA Satoshi | 植山敏 | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-05-03 |
| AJH223 | THACKER Sacha | RE | Dealing in Securities | 2003-12-09 | 2005-04-25 | |
| AJH223 | THACKER Sacha | RE | Dealing in Futures Contracts | 2004-06-24 | 2005-04-25 | |
| AJH224 | WOODS Duncan Robert | RE | Dealing in Securities | 2003-12-09 | 2004-11-04 | |
| AJH224 | WOODS Duncan Robert | RE | Dealing in Futures Contracts | 2004-06-24 | 2004-11-04 | |
| AJI294 | BACHER Ryan Rudolf | RE | Dealing in Securities | 2003-12-18 | 2009-06-23 | |
| AJI294 | BACHER Ryan Rudolf | RE | Dealing in Futures Contracts | 2006-06-23 | 2009-06-23 | |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 | RE | Dealing in Securities | 2010-04-28 | 2011-06-02 |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 | RO | Dealing in Securities | 2011-06-02 | 2012-03-21 |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 | RE | Dealing in Futures Contracts | 2010-04-28 | 2011-06-02 |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 | RO | Dealing in Futures Contracts | 2011-06-02 | 2012-03-21 |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 | RO | Advising on Securities | 2011-06-02 | 2012-03-21 |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 | RO | Advising on Futures Contracts | 2011-06-02 | 2012-03-21 |
| AJJ615 | CHAN Yuet Hang, Danny | 陳悅恆 | RE | Dealing in Securities | 2004-01-15 | 2011-05-14 |
| AJK532 | REEVES Andrew James | RE | Dealing in Securities | 2004-01-26 | 2014-02-27 | |
| AJK532 | REEVES Andrew James | RE | Dealing in Futures Contracts | 2007-03-15 | 2014-02-27 | |
| AJK533 | MICHALIK Thorsten | RE | Dealing in Securities | 2004-01-26 | 2006-03-01 | |
| AJK533 | MICHALIK Thorsten | RE | Dealing in Securities | 2008-08-14 | 2013-01-21 | |
| AJK533 | MICHALIK Thorsten | RE | Advising on Securities | 2005-05-18 | 2006-03-01 | |
| AJL228 | TSENG KUO Juan | RE | Dealing in Securities | 2004-02-09 | 2004-09-11 | |
| AJL230 | DAVIDGE-PITTS Mark Nicholas | RE | Dealing in Securities | 2004-02-09 | 2007-08-01 | |
| AJL234 | QUARMBY Thomas Edward | RE | Dealing in Securities | 2004-02-09 | 2004-09-10 | |
| AJL234 | QUARMBY Thomas Edward | RE | Dealing in Securities | 2007-01-25 | 2007-10-10 | |
| AJL234 | QUARMBY Thomas Edward | RE | Dealing in Futures Contracts | 2007-01-25 | 2007-10-10 | |
| AJL237 | LEE Frank I-J | RE | Dealing in Securities | 2004-02-10 | 2007-11-15 | |
| AJL240 | PRELLER Raoul Gustav | RE | Dealing in Securities | 2004-02-09 | 2006-08-16 | |
| AJL240 | PRELLER Raoul Gustav | RE | Dealing in Futures Contracts | 2006-06-14 | 2006-08-16 | |
| AJL552 | HOEPFFNER Edouard Yves Maurice Pierre | RE | Dealing in Securities | 2004-02-24 | 2006-02-28 | |
| AJL554 | CHEUNG Wendy Ho Ting | 張皓婷 | RE | Dealing in Securities | 2004-02-17 | 2006-03-17 |
| AJL555 | CRAIG-WOOD Christopher John | RE | Dealing in Securities | 2004-02-12 | 2004-04-12 | |
| AJL850 | RODGERS Charles Beresford | RE | Dealing in Securities | 2004-02-14 | 2004-05-31 | |
| AJL908 | LUI Thomas Ting Ching | 雷廷禎 | RE | Dealing in Securities | 2007-01-25 | 2008-12-05 |
| AJL908 | LUI Thomas Ting Ching | 雷廷禎 | RE | Dealing in Futures Contracts | 2007-01-25 | 2008-12-05 |
| AJM691 | TAN Geok Hua | 陳玉華 | RE | Dealing in Securities | 2004-02-26 | 2004-03-31 |
| AJM704 | SOMERA Ved Kavi | RE | Dealing in Securities | 2004-02-25 | 2004-10-02 | |
| AJM704 | SOMERA Ved Kavi | RE | Dealing in Securities | 2004-10-14 | 2006-02-01 | |
| AJN346 | SARKIS David | RE | Dealing in Securities | 2004-03-05 | 2004-06-01 | |
| AJN346 | SARKIS David | RE | Dealing in Securities | 2005-01-10 | 2005-07-07 | |
| AJN346 | SARKIS David | RO | Dealing in Securities | 2004-06-01 | 2005-01-10 | |
| AJN346 | SARKIS David | RO | Dealing in Futures Contracts | 2004-06-01 | 2005-07-07 | |
| AJN346 | SARKIS David | RO | Advising on Futures Contracts | 2004-06-01 | 2005-07-07 | |
| AJN963 | CHAN Yick Kei | 陳奕祺 | RE | Advising on Corporate Finance | 2012-03-05 | 2015-01-21 |
| AJO309 | BURROWS Nathan Wesley | RE | Dealing in Securities | 2004-03-19 | 2007-04-06 | |
| AJO309 | BURROWS Nathan Wesley | RE | Dealing in Futures Contracts | 2004-06-30 | 2007-04-06 | |
| AJX187 | ZHANG Anzhi | 張安志 | RO | Advising on Corporate Finance | 2012-03-02 | 2018-07-05 |
| AKI542 | CRAWFORD Adam John Sharman | RE | Dealing in Securities | 2004-04-13 | 2006-11-30 | |
| AKI550 | TSENG Tzu Wen, Maryann | 曾慈雯 | RE | Dealing in Securities | 2009-08-25 | 2010-05-31 |
| AKI626 | IP Yau Lung | 葉游龍 | RE | Dealing in Securities | 2007-08-20 | 2011-02-09 |
| AKI626 | IP Yau Lung | 葉游龍 | RE | Dealing in Futures Contracts | 2007-08-20 | 2011-02-09 |
| AKJ144 | RICHMOND Blair James | RE | Dealing in Securities | 2004-04-20 | 2008-01-01 | |
| AKJ144 | RICHMOND Blair James | RE | Dealing in Futures Contracts | 2006-06-14 | 2008-01-01 | |
| AKJ245 | GUAN Zheng Michael | 管征 | RE | Advising on Corporate Finance | 2017-07-03 | |
| AKO627 | HSIA Michael Chinsom | 夏俊生 | RE | Dealing in Securities | 2004-05-05 | 2005-05-03 |
| AKP276 | CORRY Nicolas Daniel | RE | Dealing in Securities | 2006-03-07 | 2008-09-01 | |
| AKP276 | CORRY Nicolas Daniel | RE | Dealing in Futures Contracts | 2006-03-07 | 2008-09-01 | |
| AKP468 | ZUO Jie | 左杰 | RE | Dealing in Securities | 2004-05-19 | 2005-03-14 |
| AKP468 | ZUO Jie | 左杰 | RE | Dealing in Futures Contracts | 2004-07-15 | 2005-03-14 |
| AKP805 | PAK Quentin | 白熲棠 | RE | Dealing in Securities | 2004-05-24 | 2006-05-31 |
| AKS659 | LEE Jae Young | RE | Dealing in Securities | 2004-06-02 | 2006-08-29 | |
| AKT391 | WOOD Graham Douglas | RE | Dealing in Securities | 2004-06-07 | 2011-06-07 | |
| AKT391 | WOOD Graham Douglas | RE | Dealing in Futures Contracts | 2008-10-27 | 2011-06-07 | |
| AKT480 | GARG Manish | RE | Dealing in Securities | 2004-06-07 | 2006-09-01 | |
| AKU303 | ZHOU Zhi | 周知 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-10-16 |
| AKV093 | CALVERT Piers Henry | RE | Dealing in Securities | 2004-06-17 | 2004-08-16 | |
| AKW695 | SINNATHURAY Chandra Raj | RE | Dealing in Securities | 2007-06-12 | 2009-11-23 | |
| AKW695 | SINNATHURAY Chandra Raj | RE | Dealing in Futures Contracts | 2007-06-12 | 2009-11-23 | |
| AKX345 | TWOMEY Harvey Noel | RE | Dealing in Securities | 2008-05-02 | 2013-12-03 | |
| AKX345 | TWOMEY Harvey Noel | RE | Dealing in Securities | 2014-06-06 | 2017-09-01 | |
| AKX345 | TWOMEY Harvey Noel | RO | Dealing in Securities | 2013-12-03 | 2014-06-06 | |
| AKX345 | TWOMEY Harvey Noel | RE | Dealing in Futures Contracts | 2008-05-02 | 2013-12-03 | |
| AKX345 | TWOMEY Harvey Noel | RE | Dealing in Futures Contracts | 2014-06-06 | 2015-02-03 | |
| AKX345 | TWOMEY Harvey Noel | RO | Dealing in Futures Contracts | 2013-12-03 | 2014-06-06 | |
| AKX345 | TWOMEY Harvey Noel | RE | Providing Automated Trading Services | 2010-06-23 | 2015-02-03 | |
| AKX681 | AZZI Daniel W | RE | Dealing in Securities | 2004-07-13 | 2006-08-11 | |
| AKX681 | AZZI Daniel W | RE | Dealing in Futures Contracts | 2006-06-20 | 2006-08-11 | |
| AKY104 | MENDES Carlos Juan D'Oliveira | RE | Dealing in Securities | 2006-11-21 | 2009-07-14 | |
| AKY468 | YONGKITTIKUL Kittiphongse | 馬俊琦 | RE | Dealing in Securities | 2004-07-19 | 2006-12-31 |
| AKY468 | YONGKITTIKUL Kittiphongse | 馬俊琦 | RE | Dealing in Futures Contracts | 2004-07-19 | 2006-12-31 |
| AKY943 | CHAN Koon Shing, Dominic | 陳冠成 | RE | Dealing in Securities | 2007-03-22 | 2008-05-16 |
| ALA499 | WONG Tsz Kin | 王子健 | RE | Dealing in Securities | 2004-12-16 | 2013-02-01 |
| ALA499 | WONG Tsz Kin | 王子健 | RE | Advising on Securities | 2005-05-18 | 2013-02-01 |
| ALA688 | CHUNG Ho Fai, Derek | 鍾晧輝 | RE | Advising on Corporate Finance | 2016-11-10 | 2017-04-26 |
| ALA688 | CHUNG Ho Fai, Derek | 鍾晧輝 | RO | Advising on Corporate Finance | 2017-04-26 | |
| ALB271 | FAN Shaoli | 范少立 | RE | Advising on Corporate Finance | 2012-03-05 | |
| ALB798 | BAMBER Mark | RE | Dealing in Securities | 2004-08-09 | 2005-10-01 | |
| ALB798 | BAMBER Mark | RE | Dealing in Securities | 2013-03-08 | 2013-03-15 | |
| ALB798 | BAMBER Mark | RE | Dealing in Securities | 2014-11-14 | 2014-11-19 | |
| ALB798 | BAMBER Mark | RE | Dealing in Futures Contracts | 2004-08-09 | 2005-10-01 | |
| ALB938 | LI Zongyi | 李宗沂 | RE | Dealing in Securities | 2004-08-12 | 2007-08-29 |
| ALC214 | TAN Choon Wah | 陳俊華 | RE | Dealing in Securities | 2007-06-06 | 2008-12-05 |
| ALD194 | WELCH Thomas Andrew | RE | Dealing in Securities | 2007-08-15 | 2009-08-17 | |
| ALD194 | WELCH Thomas Andrew | RO | Dealing in Securities | 2009-08-17 | 2010-05-21 | |
| ALD194 | WELCH Thomas Andrew | RO | Advising on Securities | 2009-08-17 | 2010-05-21 | |
| ALD194 | WELCH Thomas Andrew | RO | Providing Automated Trading Services | 2010-04-16 | 2010-05-21 | |
| ALD507 | YANG Yu | 楊煜 | RE | Dealing in Securities | 2004-08-25 | 2005-03-29 |
| ALD507 | YANG Yu | 楊煜 | RE | Advising on Securities | 2004-08-25 | 2005-03-29 |
| ALF255 | CHEN Augustine | RE | Dealing in Securities | 2008-05-08 | 2011-04-09 | |
| ALF257 | LIANG Yibo | 良宜波 | RE | Advising on Corporate Finance | 2012-03-05 | 2013-06-28 |
| ALF476 | BROWN Bahar | RE | Dealing in Securities | 2004-10-14 | 2006-05-15 | |
| ALF606 | HAGUE Claire Elizabeth Logan | RE | Dealing in Securities | 2004-09-13 | 2008-12-17 | |
| ALF606 | HAGUE Claire Elizabeth Logan | RE | Dealing in Securities | 2009-02-16 | 2011-04-09 | |
| ALF611 | ZHAO Chunhua | 趙春花 | RE | Dealing in Securities | 2004-09-13 | 2009-11-06 |
| ALG223 | LEONG Ka Chun, John Peter | 梁家俊 | RE | Dealing in Securities | 2004-09-22 | 2006-04-14 |
| ALI062 | MEENAN James Nahor | RE | Dealing in Securities | 2004-10-11 | 2010-04-30 | |
| ALI062 | MEENAN James Nahor | RE | Dealing in Futures Contracts | 2005-05-18 | 2010-04-30 | |
| ALI137 | GOH Priscilla Tok Wee | 吳書慧 | RE | Dealing in Securities | 2004-10-18 | 2007-04-22 |
| ALI346 | BEATTIE Russell William | RE | Dealing in Securities | 2007-07-06 | 2010-04-30 | |
| ALI346 | BEATTIE Russell William | RE | Dealing in Futures Contracts | 2007-05-14 | 2007-09-14 | |
| ALI346 | BEATTIE Russell William | RO | Dealing in Futures Contracts | 2007-09-14 | 2010-04-30 | |
| ALI346 | BEATTIE Russell William | RE | Advising on Futures Contracts | 2007-05-14 | 2007-09-14 | |
| ALI346 | BEATTIE Russell William | RO | Advising on Futures Contracts | 2007-09-14 | 2010-04-30 | |
| ALI600 | HOLIDAY Edward Richard | RE | Dealing in Securities | 2004-10-19 | 2005-10-10 | |
| ALJ837 | ZHAO Yue | 趙悅 | RE | Dealing in Securities | 2006-07-07 | 2017-08-19 |
| ALJ957 | KWOK Dik Sze, Daisy | 郭迪思 | RE | Dealing in Securities | 2004-11-02 | 2010-11-16 |
| ALK219 | MACDONALD Matthew Douglas | RE | Dealing in Securities | 2006-07-24 | 2010-03-04 | |
| ALK219 | MACDONALD Matthew Douglas | RE | Dealing in Securities | 2010-07-06 | 2014-09-19 | |
| ALK219 | MACDONALD Matthew Douglas | RO | Dealing in Securities | 2014-09-19 | 2017-02-07 | |
| ALK219 | MACDONALD Matthew Douglas | RE | Dealing in Futures Contracts | 2006-07-24 | 2009-08-11 | |
| ALK219 | MACDONALD Matthew Douglas | RE | Dealing in Futures Contracts | 2010-07-06 | 2017-02-07 | |
| ALK219 | MACDONALD Matthew Douglas | RO | Dealing in Futures Contracts | 2009-08-11 | 2010-02-11 | |
| ALK219 | MACDONALD Matthew Douglas | RO | Advising on Futures Contracts | 2009-08-11 | 2010-02-11 | |
| ALK219 | MACDONALD Matthew Douglas | RE | Providing Automated Trading Services | 2010-07-06 | 2013-03-06 | |
| ALK219 | MACDONALD Matthew Douglas | RO | Providing Automated Trading Services | 2016-05-19 | 2017-02-07 | |
| ALK811 | LAU Nam Lung, Humphrey | 劉南龍 | RE | Dealing in Securities | 2004-11-08 | 2006-06-16 |
| ALL099 | GHOSH Anandomoy | RE | Dealing in Securities | 2006-12-06 | 2008-03-18 | |
| ALL099 | GHOSH Anandomoy | RE | Dealing in Futures Contracts | 2006-12-06 | 2008-03-18 | |
| ALN903 | BAE Joon | RE | Dealing in Securities | 2007-11-29 | 2009-01-01 | |
| ALO053 | LEUNG Wai Yi, Connie | 梁慧儀 | RE | Dealing in Securities | 2005-04-11 | 2008-12-16 |
| ALQ179 | DAUBE Patrick | RE | Dealing in Securities | 2005-01-10 | 2005-04-09 | |
| ALQ179 | DAUBE Patrick | RE | Dealing in Securities | 2005-04-14 | 2010-07-13 | |
| ALQ179 | DAUBE Patrick | RE | Dealing in Futures Contracts | 2005-04-14 | 2010-07-13 | |
| ALQ506 | LO James Kwok-Lun | 羅國倫 | RE | Dealing in Securities | 2005-01-18 | 2006-05-18 |
| ALQ515 | DAY Christopher Alan | RE | Dealing in Securities | 2005-01-20 | 2005-09-07 | |
| ALR020 | SMITH Timothy Robert | RE | Dealing in Securities | 2011-08-26 | 2011-12-09 | |
| ALR020 | SMITH Timothy Robert | RO | Dealing in Securities | 2011-12-09 | 2017-02-21 | |
| ALR020 | SMITH Timothy Robert | RE | Dealing in Futures Contracts | 2011-08-26 | 2011-12-09 | |
| ALR020 | SMITH Timothy Robert | RO | Dealing in Futures Contracts | 2011-12-09 | 2017-02-21 | |
| ALR020 | SMITH Timothy Robert | RO | Advising on Futures Contracts | 2012-11-15 | 2017-02-21 | |
| ALR024 | FU Hsiang Chuan | 傅祥銓 | RE | Dealing in Securities | 2010-08-30 | 2013-06-12 |
| ALR024 | FU Hsiang Chuan | 傅祥銓 | RE | Dealing in Futures Contracts | 2010-08-30 | 2013-06-12 |
| ALR024 | FU Hsiang Chuan | 傅祥銓 | RE | Providing Automated Trading Services | 2011-03-31 | 2013-03-06 |
| ALR980 | LO Shih-hung | 羅仕泓 | RE | Dealing in Securities | 2005-02-03 | 2010-04-24 |
| ALR980 | LO Shih-hung | 羅仕泓 | RE | Dealing in Futures Contracts | 2005-03-17 | 2010-04-24 |
| ALS050 | ZHANG Raymond Yue | 張玥 | RE | Advising on Corporate Finance | 2014-10-27 | 2015-08-28 |
| ALS348 | PERRY Matthew John | RE | Dealing in Securities | 2005-02-16 | 2009-04-28 | |
| ALS397 | WURZEL Roger | RE | Dealing in Securities | 2005-02-15 | 2005-05-14 | |
| ALS397 | WURZEL Roger | RE | Dealing in Securities | 2008-07-11 | 2008-07-18 | |
| ALS457 | DESAI Anil Pralhad | RE | Dealing in Securities | 2011-06-22 | 2015-07-21 | |
| ALS457 | DESAI Anil Pralhad | RE | Dealing in Futures Contracts | 2011-06-22 | 2015-07-21 | |
| ALS661 | EDELIST Andrew Wayne | RE | Dealing in Securities | 2005-02-24 | 2008-07-11 | |
| ALS661 | EDELIST Andrew Wayne | RE | Dealing in Futures Contracts | 2005-03-17 | 2008-07-11 | |
| ALT794 | PERROT Benoit Francis Louis | RE | Dealing in Securities | 2009-08-18 | 2012-02-24 | |
| ALT794 | PERROT Benoit Francis Louis | RE | Dealing in Futures Contracts | 2009-08-18 | 2012-02-24 | |
| ALT891 | AUH Jun Kyung | RE | Dealing in Securities | 2005-03-07 | 2006-08-21 | |
| ALU161 | CHANG Richard Yen-Hsiang | RE | Dealing in Securities | 2005-03-09 | 2005-10-10 | |
| ALU161 | CHANG Richard Yen-Hsiang | RE | Dealing in Futures Contracts | 2005-03-09 | 2005-10-10 | |
| ALU162 | CHAN Chieh-mi | RE | Dealing in Securities | 2005-03-09 | 2005-11-22 | |
| ALU162 | CHAN Chieh-mi | RE | Dealing in Securities | 2009-04-02 | 2009-07-01 | |
| ALU162 | CHAN Chieh-mi | RO | Dealing in Securities | 2005-11-22 | 2009-04-02 | |
| ALU162 | CHAN Chieh-mi | RE | Dealing in Futures Contracts | 2005-05-18 | 2005-11-22 | |
| ALU162 | CHAN Chieh-mi | RE | Dealing in Futures Contracts | 2009-04-23 | 2009-07-01 | |
| ALU162 | CHAN Chieh-mi | RO | Dealing in Futures Contracts | 2005-11-22 | 2009-04-23 | |
| ALU162 | CHAN Chieh-mi | RE | Advising on Securities | 2009-04-02 | 2009-07-01 | |
| ALU162 | CHAN Chieh-mi | RO | Advising on Securities | 2005-11-22 | 2009-04-02 | |
| ALU162 | CHAN Chieh-mi | RE | Advising on Futures Contracts | 2009-04-02 | 2009-07-01 | |
| ALU162 | CHAN Chieh-mi | RO | Advising on Futures Contracts | 2005-11-22 | 2009-04-02 | |
| ALV256 | TEI Mei Lun Miranda | 戴美倫 | RE | Dealing in Securities | 2005-03-22 | 2005-04-22 |
| ALV256 | TEI Mei Lun Miranda | 戴美倫 | RE | Dealing in Securities | 2006-03-31 | 2007-07-16 |
| ALV256 | TEI Mei Lun Miranda | 戴美倫 | RE | Dealing in Futures Contracts | 2007-01-10 | 2007-07-16 |
| ALV267 | HUANG Po-Chun | 黃柏俊 | RE | Dealing in Securities | 2005-03-21 | 2005-04-21 |
| ALV324 | CLARKE Enda Francis | RE | Dealing in Securities | 2008-03-14 | 2008-04-14 | |
| ALV328 | SANG Jie | 桑潔 | RE | Advising on Corporate Finance | 2012-03-05 | 2015-07-22 |
| ALW172 | HOO Chuin Hoong | 何俊鴻 | RE | Dealing in Securities | 2005-04-01 | 2005-12-10 |
| ALW172 | HOO Chuin Hoong | 何俊鴻 | RE | Dealing in Futures Contracts | 2005-04-01 | 2005-12-10 |
| ALW173 | CHUNG Richard | RE | Dealing in Securities | 2005-04-01 | 2005-12-10 | |
| ALW173 | CHUNG Richard | RE | Dealing in Securities | 2009-08-20 | 2012-03-07 | |
| ALW173 | CHUNG Richard | RE | Dealing in Securities | 2017-10-13 | 2018-04-04 | |
| ALW173 | CHUNG Richard | RO | Dealing in Securities | 2018-04-04 | ||
| ALW173 | CHUNG Richard | RE | Dealing in Futures Contracts | 2005-04-01 | 2005-12-10 | |
| ALW173 | CHUNG Richard | RE | Dealing in Futures Contracts | 2017-10-13 | 2018-04-04 | |
| ALW173 | CHUNG Richard | RO | Dealing in Futures Contracts | 2018-04-04 | ||
| ALW173 | CHUNG Richard | RO | Providing Automated Trading Services | 2018-04-04 | ||
| ALW209 | HE Fang | 何方 | RE | Advising on Corporate Finance | 2012-03-30 | 2012-10-31 |
| ALW236 | CHU Peter Pa-en | RE | Dealing in Securities | 2006-03-31 | 2010-07-29 | |
| ALW236 | CHU Peter Pa-en | RE | Dealing in Futures Contracts | 2006-03-31 | 2010-07-29 | |
| ALW335 | HEIM Gunter Thomas | RE | Dealing in Securities | 2005-04-06 | 2005-05-05 | |
| ALW335 | HEIM Gunter Thomas | RE | Dealing in Securities | 2005-07-18 | 2005-08-17 | |
| ALY188 | KIM Jung Hyon | RE | Dealing in Securities | 2005-04-23 | 2007-03-02 | |
| ALZ310 | JANJUSEVIC Miodrag | RE | Dealing in Securities | 2008-04-23 | 2009-02-05 | |
| ALZ310 | JANJUSEVIC Miodrag | RE | Dealing in Futures Contracts | 2008-05-30 | 2009-02-05 | |
| ALZ631 | WU Stephanie Yo-hua | 吳宥樺 | RE | Dealing in Securities | 2007-03-19 | 2009-12-07 |
| ALZ665 | YIP Fung | 葉豐 | RE | Dealing in Securities | 2018-01-08 | |
| ALZ665 | YIP Fung | 葉豐 | RE | Dealing in Futures Contracts | 2018-01-08 | |
| AMB757 | PIRESTANI Kayvon Andrew | RE | Dealing in Securities | 2005-06-08 | 2012-10-11 | |
| AMB757 | PIRESTANI Kayvon Andrew | RE | Dealing in Futures Contracts | 2006-06-01 | 2012-10-11 | |
| AMC205 | KELLY Patrick Cahill | RE | Dealing in Securities | 2013-06-10 | 2013-12-27 | |
| AMC205 | KELLY Patrick Cahill | RO | Dealing in Securities | 2013-12-27 | 2017-04-23 | |
| AMC205 | KELLY Patrick Cahill | RE | Dealing in Futures Contracts | 2013-06-10 | 2013-12-27 | |
| AMC205 | KELLY Patrick Cahill | RO | Dealing in Futures Contracts | 2013-12-27 | 2017-04-23 | |
| AMC205 | KELLY Patrick Cahill | RO | Providing Automated Trading Services | 2013-12-27 | 2017-04-23 | |
| AME256 | ONG Derek | RE | Dealing in Securities | 2005-06-22 | 2011-08-23 | |
| AME256 | ONG Derek | RE | Dealing in Futures Contracts | 2005-06-22 | 2011-08-23 | |
| AMF768 | TSUI Fook Hong, Stephen | 徐福康 | RE | Dealing in Securities | 2005-07-18 | 2012-09-05 |
| AMF768 | TSUI Fook Hong, Stephen | 徐福康 | RE | Dealing in Futures Contracts | 2006-01-24 | 2012-09-05 |
| AMH160 | RAO Vigyan | RE | Dealing in Securities | 2010-07-05 | 2012-07-05 | |
| AMH160 | RAO Vigyan | RE | Dealing in Futures Contracts | 2010-07-05 | 2012-07-05 | |
| AMH247 | RANGWALA Abbas Asgarali | RE | Advising on Corporate Finance | 2012-03-05 | 2016-11-15 | |
| AMJ457 | MCGEE Alan Craig | RE | Dealing in Securities | 2007-08-17 | 2008-12-05 | |
| AMJ983 | ROY Karine | RE | Dealing in Securities | 2008-02-11 | 2009-04-04 | |
| AMJ983 | ROY Karine | RE | Dealing in Futures Contracts | 2008-01-25 | 2009-04-04 | |
| AMK232 | WADDELL Andrew Graham | RE | Dealing in Securities | 2007-08-23 | 2013-04-20 | |
| AMK250 | DONLEY Charles John | RE | Dealing in Securities | 2005-08-31 | 2007-04-12 | |
| AMK250 | DONLEY Charles John | RE | Dealing in Securities | 2007-10-12 | 2010-01-01 | |
| AMK250 | DONLEY Charles John | RO | Dealing in Securities | 2007-04-12 | 2007-10-12 | |
| AMK250 | DONLEY Charles John | RE | Dealing in Futures Contracts | 2005-08-31 | 2007-04-12 | |
| AMK250 | DONLEY Charles John | RE | Dealing in Futures Contracts | 2007-10-12 | 2010-01-01 | |
| AMK250 | DONLEY Charles John | RO | Dealing in Futures Contracts | 2007-04-12 | 2007-10-12 | |
| AMK424 | RAGEAU Patrice Frederic | RE | Dealing in Securities | 2005-09-02 | 2009-04-21 | |
| AMK424 | RAGEAU Patrice Frederic | RE | Dealing in Futures Contracts | 2005-09-02 | 2009-04-21 | |
| AML648 | GAN Wee Leong | 顏偉樑 | RE | Dealing in Securities | 2008-08-26 | 2014-06-03 |
| AML685 | PAGAN Christopher | RE | Dealing in Securities | 2005-09-15 | 2008-09-01 | |
| AMM130 | YIP Ying Kei | 葉穎琪 | RE | Dealing in Securities | 2007-08-09 | 2009-04-02 |
| AMM330 | ROMEO Roberto | RE | Dealing in Securities | 2005-09-21 | 2005-10-21 | |
| AMM348 | KIM So Yeon | RE | Dealing in Securities | 2009-06-23 | 2010-01-30 | |
| AMM348 | KIM So Yeon | RE | Dealing in Securities | 2010-03-01 | 2013-02-01 | |
| AMM348 | KIM So Yeon | RE | Advising on Securities | 2012-06-14 | 2013-02-01 | |
| AMM448 | LIEN Vincent Wai Sun | 連維新 | RE | Advising on Corporate Finance | 2012-03-05 | 2016-02-13 |
| AMN702 | TURNBULL Alexander Bligh Hughes | RE | Dealing in Securities | 2005-09-30 | 2006-05-23 | |
| AMN863 | WONG Look Liew | RE | Dealing in Securities | 2005-10-13 | 2006-06-18 | |
| AMO544 | SUN Richard Li-ren | 孫立人 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-09-06 |
| AMP163 | YUEN Yui Chi, Peter | 阮叡智 | RE | Dealing in Securities | 2007-06-25 | 2009-05-22 |
| AMP163 | YUEN Yui Chi, Peter | 阮叡智 | RE | Dealing in Futures Contracts | 2007-06-25 | 2009-05-22 |
| AMP165 | BEAN James Mark | RE | Dealing in Securities | 2005-10-18 | 2014-06-12 | |
| AMP165 | BEAN James Mark | RE | Dealing in Futures Contracts | 2006-02-15 | 2014-06-12 | |
| AMP165 | BEAN James Mark | RE | Providing Automated Trading Services | 2010-06-23 | 2013-03-06 | |
| AMP197 | JAMES Craig Kendell | RE | Dealing in Securities | 2005-10-19 | 2008-02-07 | |
| AMQ369 | OBERHANSBERG Utz Richard | RE | Dealing in Securities | 2005-10-31 | 2009-04-15 | |
| AMR653 | IMMEL Andreas Wolfram Peter | RE | Dealing in Securities | 2009-07-31 | 2009-10-31 | |
| AMR653 | IMMEL Andreas Wolfram Peter | RE | Dealing in Securities | 2010-02-26 | 2010-03-05 | |
| AMR665 | OW Shin Yeuan | 歐欣遠 | RE | Dealing in Securities | 2007-07-31 | 2011-05-14 |
| AMS416 | AU Chun Kwok | 歐振國 | RE | Advising on Corporate Finance | 2012-03-05 | 2012-11-28 |
| AMS611 | SONI Ajay | RE | Dealing in Securities | 2005-11-21 | 2006-06-23 | |
| AMS611 | SONI Ajay | RE | Dealing in Securities | 2006-10-26 | 2007-03-31 | |
| AMS716 | PEMBERTON Christian Matthew | RE | Dealing in Securities | 2005-11-29 | 2009-07-24 | |
| AMS723 | CHUI Jun Mun, Alvin | 崔俊文 | RE | Dealing in Securities | 2005-11-25 | 2006-10-18 |
| AMU521 | SHALABI Hani Youssef | RE | Dealing in Securities | 2017-08-21 | 2018-01-29 | |
| AMU521 | SHALABI Hani Youssef | RO | Dealing in Securities | 2018-01-29 | ||
| AMU521 | SHALABI Hani Youssef | RE | Dealing in Futures Contracts | 2017-08-21 | 2018-01-29 | |
| AMU521 | SHALABI Hani Youssef | RO | Dealing in Futures Contracts | 2018-01-29 | ||
| AMU521 | SHALABI Hani Youssef | RE | Providing Automated Trading Services | 2017-08-21 | 2018-01-29 | |
| AMU521 | SHALABI Hani Youssef | RO | Providing Automated Trading Services | 2018-01-29 | ||
| AMU550 | HAO Christina Jieyu | 郝洁羽 | RE | Dealing in Securities | 2005-12-09 | 2006-11-09 |
| AMX120 | WONG Lai Fong, Serina | 黃麗芳 | RE | Dealing in Securities | 2008-08-05 | 2009-02-28 |
| AMX120 | WONG Lai Fong, Serina | 黃麗芳 | RE | Dealing in Futures Contracts | 2008-08-05 | 2009-02-28 |
| AMY441 | KIM Seong Rak | 金成洛 | RE | Dealing in Securities | 2006-01-24 | 2007-05-23 |
| AMY969 | BENNETT Charles Andrew Coghlan | RE | Dealing in Securities | 2007-07-24 | 2013-08-28 | |
| AMZ173 | CHEN Xuehua | 陳雪花 | RE | Advising on Corporate Finance | 2013-11-07 | 2014-08-07 |
| ANA916 | PARAMESWARAN Srikant | RE | Dealing in Securities | 2008-05-13 | 2008-12-16 | |
| ANA916 | PARAMESWARAN Srikant | RE | Dealing in Futures Contracts | 2008-05-13 | 2008-12-16 | |
| ANB378 | CHANDAK Dhiraj | RE | Dealing in Securities | 2006-02-20 | ||
| ANB385 | LEONARD Neil Angus James | RE | Dealing in Securities | 2006-02-20 | 2012-09-05 | |
| ANB385 | LEONARD Neil Angus James | RE | Dealing in Futures Contracts | 2012-01-30 | 2012-09-05 | |
| ANB389 | LI Kathleen Ka-Lam | 李嘉琳 | RE | Dealing in Securities | 2006-02-20 | 2006-09-27 |
| ANB389 | LI Kathleen Ka-Lam | 李嘉琳 | RE | Dealing in Securities | 2007-05-22 | 2007-07-28 |
| AND181 | DENG Rong | 鄧嶸 | RE | Dealing in Securities | 2006-03-01 | 2008-06-24 |
| AND181 | DENG Rong | 鄧嶸 | RE | Dealing in Futures Contracts | 2006-03-01 | 2008-06-24 |
| ANE006 | NG Kut Yin, Jeffrey | 吳吉然 | RE | Dealing in Securities | 2006-03-09 | 2009-04-15 |
| ANE006 | NG Kut Yin, Jeffrey | 吳吉然 | RE | Dealing in Futures Contracts | 2006-04-20 | 2009-04-15 |
| ANE094 | LEE Min Hee | 李敏禧 | RE | Dealing in Securities | 2008-04-28 | 2008-11-05 |
| ANE702 | ASKAR Kamel | RE | Dealing in Securities | 2006-03-15 | 2011-01-27 | |
| ANG128 | GIBB Richard Boyce Massey | RE | Advising on Corporate Finance | 2017-01-26 | 2017-05-08 | |
| ANG128 | GIBB Richard Boyce Massey | RO | Advising on Corporate Finance | 2017-05-08 | ||
| ANG872 | POON Pui Sze | 潘佩詩 | RE | Dealing in Securities | 2006-04-11 | 2006-06-22 |
| ANH003 | CHAN Yuk Shan | 陳玉珊 | RE | Dealing in Securities | 2006-04-11 | 2007-12-31 |
| ANH083 | EL HICHERI Fayez | RE | Dealing in Securities | 2007-08-23 | 2009-05-12 | |
| ANH083 | EL HICHERI Fayez | RE | Dealing in Futures Contracts | 2007-08-23 | 2009-05-12 | |
| ANI909 | TAO Nina Chih-Yu | 陶芝宇 | RE | Dealing in Securities | 2006-05-08 | 2008-07-14 |
| ANJ469 | FRANKO Elie Jean | RE | Dealing in Securities | 2006-05-10 | 2007-03-26 | |
| ANK150 | CHEUNG Tommy | 張華 | RE | Dealing in Securities | 2006-05-15 | 2006-12-16 |
| ANK150 | CHEUNG Tommy | 張華 | RE | Dealing in Securities | 2008-01-24 | 2009-10-14 |
| ANK150 | CHEUNG Tommy | 張華 | RE | Dealing in Futures Contracts | 2008-01-24 | 2009-10-14 |
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