Hong Kong SFC licence institution AAV882, UBS Securities Asia Limited

These are the licence-holders that were found for SFC licence institution AAV882 on the SFC website.

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

SFC code English name Chinese name Role Activity Start date End date
AAA320 HU Frank 胡以達 RE Dealing in Securities 2010-08-26 2014-05-15
AAB905 HO Kwok Chung 何國仲 RE Dealing in Securities 2003-04-01 2008-05-07
AAB905 HO Kwok Chung 何國仲 RE Advising on Securities 2003-04-01 2005-03-24
AAB905 HO Kwok Chung 何國仲 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AAB905 HO Kwok Chung 何國仲 RE Asset Management 2003-04-01 2005-03-24
AAB955 HO Hin Hung, Henry 何顯鴻 RE Advising on Securities 2004-08-17 2007-05-28
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Dealing in Securities 2003-04-01 2006-06-08
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Dealing in Futures Contracts 2003-04-01 2006-06-08
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Advising on Securities 2003-04-01 2005-03-24
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Advising on Futures Contracts 2003-04-01 2005-02-04
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AAC292 LAU Chi Chiu, Marcus 劉志超 RE Asset Management 2003-04-01 2005-03-24
AAD859 YU Wah Chiu, Jason 余華超 RE Dealing in Securities 2005-03-24 2011-06-30
AAD859 YU Wah Chiu, Jason 余華超 RO Dealing in Securities 2003-04-01 2005-03-24
AAD859 YU Wah Chiu, Jason 余華超 RE Dealing in Futures Contracts 2005-05-04 2011-06-30
AAD859 YU Wah Chiu, Jason 余華超 RO Advising on Securities 2003-04-01 2005-03-24
AAD859 YU Wah Chiu, Jason 余華超 RO Advising on Corporate Finance 2003-04-01 2005-02-04
AAD859 YU Wah Chiu, Jason 余華超 RO Asset Management 2003-04-01 2005-02-04
AAE153 NG Kai Yan 吳啟仁 RE Dealing in Securities 2008-06-18 2012-10-25
AAE172 VAIL Paul Dominic RE Dealing in Securities 2012-04-11 2015-07-01
AAF320 POON Ming Pui 潘明培 RE Dealing in Securities 2005-03-30 2005-09-03
AAF320 POON Ming Pui 潘明培 RO Dealing in Securities 2003-04-01 2005-03-30
AAF320 POON Ming Pui 潘明培 RO Advising on Securities 2003-04-01 2005-03-30
AAF320 POON Ming Pui 潘明培 RO Advising on Corporate Finance 2003-04-01 2005-02-04
AAF320 POON Ming Pui 潘明培 RO Asset Management 2003-04-01 2005-02-04
AAJ078 MARCHINGTON Paul Anthony RE Dealing in Securities 2014-06-10 2014-06-14
AAJ078 MARCHINGTON Paul Anthony RE Dealing in Securities 2014-11-27 2014-12-05
AAJ078 MARCHINGTON Paul Anthony RE Dealing in Securities 2015-09-18 2015-10-21
AAJ078 MARCHINGTON Paul Anthony RE Dealing in Futures Contracts 2014-06-10 2014-06-14
AAJ078 MARCHINGTON Paul Anthony RE Dealing in Futures Contracts 2014-11-27 2014-12-05
AAJ078 MARCHINGTON Paul Anthony RE Dealing in Futures Contracts 2015-09-18 2015-10-21
AAK174 HUI Suk Fong, Alice 許淑芳 RE Advising on Securities 2003-04-01 2007-01-25
AAK174 HUI Suk Fong, Alice 許淑芳 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AAK174 HUI Suk Fong, Alice 許淑芳 RE Asset Management 2003-04-01 2005-03-24
AAX339 MAN Kam Chiu 文錦超 RE Dealing in Securities 2006-10-02 2008-04-17
AAX339 MAN Kam Chiu 文錦超 RE Dealing in Futures Contracts 2006-10-02 2008-04-17
AAY347 SPENCE James Barclay RE Advising on Securities 2003-04-01 2004-04-02
AAY347 SPENCE James Barclay RE Advising on Corporate Finance 2003-04-01 2004-04-02
AAY347 SPENCE James Barclay RE Asset Management 2003-04-01 2004-04-02
ABF904 ROGERS Simon Andrew RE Advising on Securities 2003-04-01 2003-09-05
ABF904 ROGERS Simon Andrew RE Advising on Corporate Finance 2003-04-01 2003-09-05
ABF904 ROGERS Simon Andrew RE Asset Management 2003-04-01 2003-09-05
ABG110 LAM Fan Keung, Franklin 林奮強 RE Advising on Securities 2003-04-01 2005-04-27
ABG110 LAM Fan Keung, Franklin 林奮強 RO Advising on Securities 2005-04-27 2006-01-09
ABG110 LAM Fan Keung, Franklin 林奮強 RE Advising on Corporate Finance 2003-04-01 2005-03-01
ABG110 LAM Fan Keung, Franklin 林奮強 RE Asset Management 2003-04-01 2005-03-01
ABL554 MOU Siu Bun, Newman 繆肇彬 RE Dealing in Securities 2003-04-01 2006-06-15
ABL554 MOU Siu Bun, Newman 繆肇彬 RE Advising on Securities 2003-04-01 2005-03-24
ABL554 MOU Siu Bun, Newman 繆肇彬 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ABL554 MOU Siu Bun, Newman 繆肇彬 RE Asset Management 2003-04-01 2005-03-24
ABN513 FOK Glenn 霍經麟 RE Advising on Securities 2003-04-01 2003-06-25
ABN513 FOK Glenn 霍經麟 RE Advising on Corporate Finance 2003-04-01 2003-06-25
ABN513 FOK Glenn 霍經麟 RE Asset Management 2003-04-01 2003-06-25
ABN648 WYATT Philip Thomas 韋輝廉 RE Advising on Securities 2004-10-04 2005-05-06
ABN648 WYATT Philip Thomas 韋輝廉 RE Advising on Securities 2006-06-19 2006-12-08
ABN648 WYATT Philip Thomas 韋輝廉 RE Advising on Securities 2007-01-16 2012-11-29
ABR486 CHAN Man Wai, Mark 陳孟為 RE Dealing in Securities 2003-04-01 2003-04-09
ABR486 CHAN Man Wai, Mark 陳孟為 RE Dealing in Futures Contracts 2003-04-01 2003-04-09
ABR486 CHAN Man Wai, Mark 陳孟為 RE Advising on Securities 2003-04-01 2003-04-09
ABR486 CHAN Man Wai, Mark 陳孟為 RE Advising on Futures Contracts 2003-04-01 2003-04-09
ABR486 CHAN Man Wai, Mark 陳孟為 RE Advising on Corporate Finance 2003-04-01 2003-04-09
ABR486 CHAN Man Wai, Mark 陳孟為 RE Asset Management 2003-04-01 2003-04-09
ABR876 WONG Constance 黃子欣 RE Dealing in Securities 2003-04-01 2008-05-24
ABR876 WONG Constance 黃子欣 RE Advising on Securities 2003-04-01 2005-03-24
ABR876 WONG Constance 黃子欣 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ABR876 WONG Constance 黃子欣 RE Asset Management 2003-04-01 2005-03-24
ABS538 GOODING Nial Dennis Henry RE Dealing in Securities 2003-04-01 2010-03-19
ABS538 GOODING Nial Dennis Henry RE Dealing in Futures Contracts 2008-06-05 2010-03-19
ABS538 GOODING Nial Dennis Henry RE Advising on Securities 2003-04-01 2005-03-24
ABS538 GOODING Nial Dennis Henry RE Advising on Corporate Finance 2003-04-01 2005-02-04
ABS538 GOODING Nial Dennis Henry RE Asset Management 2003-04-01 2005-02-04
ABT445 CHANG Walter 陳華德 RE Dealing in Securities 2003-04-01 2004-04-21
ABT445 CHANG Walter 陳華德 RE Advising on Securities 2003-04-01 2004-04-21
ABT445 CHANG Walter 陳華德 RE Advising on Corporate Finance 2003-04-01 2004-04-21
ABT445 CHANG Walter 陳華德 RE Asset Management 2003-04-01 2004-04-21
ABW052 KWAN Sing Yuen 關承遠 RE Dealing in Securities 2003-04-01
ABW052 KWAN Sing Yuen 關承遠 RE Dealing in Futures Contracts 2008-08-29
ABW052 KWAN Sing Yuen 關承遠 RE Advising on Securities 2003-04-01 2005-03-24
ABW052 KWAN Sing Yuen 關承遠 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ABW052 KWAN Sing Yuen 關承遠 RE Asset Management 2003-04-01 2005-03-24
ABW145 SUM Hing Man 岑慶文 RE Dealing in Securities 2003-04-01 2014-04-11
ABW145 SUM Hing Man 岑慶文 RE Dealing in Futures Contracts 2003-04-01 2014-04-11
ABW145 SUM Hing Man 岑慶文 RE Advising on Securities 2003-04-01 2005-03-24
ABW145 SUM Hing Man 岑慶文 RE Advising on Futures Contracts 2003-04-01 2005-02-04
ABW145 SUM Hing Man 岑慶文 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ABW145 SUM Hing Man 岑慶文 RE Asset Management 2003-04-01 2005-03-24
ABX611 ANDERSON Michael James RE Dealing in Securities 2003-04-01 2006-07-01
ABX611 ANDERSON Michael James RE Dealing in Futures Contracts 2003-04-01 2005-03-24
ABX611 ANDERSON Michael James RE Advising on Securities 2003-04-01 2005-03-24
ABX611 ANDERSON Michael James RE Advising on Futures Contracts 2003-04-01 2005-02-04
ABX611 ANDERSON Michael James RE Advising on Corporate Finance 2003-04-01 2005-02-04
ABX611 ANDERSON Michael James RE Asset Management 2003-04-01 2005-02-04
ABY481 HO Pui Kwan, Diana 何佩君 RE Dealing in Securities 2003-04-01 2011-10-18
ABY481 HO Pui Kwan, Diana 何佩君 RE Advising on Securities 2003-04-01 2005-03-24
ABY481 HO Pui Kwan, Diana 何佩君 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ABY481 HO Pui Kwan, Diana 何佩君 RE Asset Management 2003-04-01 2005-03-24
ACA303 CHAN Cheong Wa, Vincent 陳昌華 RE Dealing in Securities 2003-04-01 2004-04-29
ACA303 CHAN Cheong Wa, Vincent 陳昌華 RE Advising on Securities 2003-04-01 2004-04-29
ACA303 CHAN Cheong Wa, Vincent 陳昌華 RE Advising on Corporate Finance 2003-04-01 2004-04-29
ACA303 CHAN Cheong Wa, Vincent 陳昌華 RE Asset Management 2003-04-01 2004-04-29
ACB773 HOONG Cheong Thard 孔祥達 RE Dealing in Securities 2003-04-01 2003-05-15
ACB773 HOONG Cheong Thard 孔祥達 RE Advising on Securities 2003-04-01 2003-05-15
ACB773 HOONG Cheong Thard 孔祥達 RE Advising on Corporate Finance 2003-04-01 2003-05-15
ACB773 HOONG Cheong Thard 孔祥達 RE Asset Management 2003-04-01 2003-05-15
ACC173 TINKER Dylan Carlo RE Advising on Securities 2003-04-01 2005-04-11
ACC173 TINKER Dylan Carlo RE Advising on Corporate Finance 2003-04-01 2005-03-24
ACC173 TINKER Dylan Carlo RE Asset Management 2003-04-01 2005-03-24
ACC196 SZE Stephen C Kay 施頌基 RE Dealing in Securities 2007-04-20 2014-05-15
ACC583 CHANG Yu Wen 張聿文 RE Dealing in Securities 2006-09-25 2010-06-07
ACC583 CHANG Yu Wen 張聿文 RE Dealing in Futures Contracts 2006-09-25 2010-06-07
ACD837 WARD Rodney Gordon RO Advising on Securities 2003-04-01 2003-06-25
ACD837 WARD Rodney Gordon RO Advising on Corporate Finance 2003-04-01 2003-06-25
ACD837 WARD Rodney Gordon RO Asset Management 2003-04-01 2003-06-25
ACH708 YUEN Shuk Kam, Nicole 袁淑琴 RE Dealing in Securities 2005-03-24 2012-03-21
ACH708 YUEN Shuk Kam, Nicole 袁淑琴 RO Dealing in Securities 2003-04-01 2005-03-24
ACH708 YUEN Shuk Kam, Nicole 袁淑琴 RE Advising on Securities 2007-06-15 2012-03-21
ACH708 YUEN Shuk Kam, Nicole 袁淑琴 RO Advising on Securities 2003-04-01 2005-03-24
ACH708 YUEN Shuk Kam, Nicole 袁淑琴 RO Advising on Corporate Finance 2003-04-01 2005-02-04
ACH708 YUEN Shuk Kam, Nicole 袁淑琴 RO Asset Management 2003-04-01 2005-02-04
ACH779 SO Shing Hing, Nelson 蘇盛興 RE Dealing in Securities 2006-10-02 2008-04-17
ACH779 SO Shing Hing, Nelson 蘇盛興 RE Dealing in Futures Contracts 2006-10-02 2008-04-17
ACJ317 PANG See Kit Alwyn 彭思杰 RE Advising on Securities 2005-05-12 2008-02-25
ACJ317 PANG See Kit Alwyn 彭思杰 RE Advising on Securities 2010-01-07 2011-03-05
ACJ627 YANG Hoi Ti, Heidi 楊凱蒂 RE Advising on Corporate Finance 2003-05-09 2004-07-06
ACK851 PATTAPHONGSE Patipat RE Dealing in Securities 2008-09-23 2018-05-31
ACK851 PATTAPHONGSE Patipat RE Dealing in Futures Contracts 2008-09-23 2018-05-31
ACM546 DEBOW Sean Herbert 狄寶生 RE Advising on Securities 2003-04-01 2005-03-02
ACM546 DEBOW Sean Herbert 狄寶生 RE Advising on Corporate Finance 2003-04-01 2005-03-02
ACM546 DEBOW Sean Herbert 狄寶生 RE Asset Management 2003-04-01 2005-03-02
ACN181 YOON Chi Won RE Dealing in Securities 2003-04-01 2003-09-15
ACN181 YOON Chi Won RE Dealing in Securities 2005-06-09 2016-07-25
ACN181 YOON Chi Won RO Dealing in Securities 2003-09-15 2005-06-09
ACN181 YOON Chi Won RE Dealing in Futures Contracts 2003-04-01 2003-09-15
ACN181 YOON Chi Won RE Dealing in Futures Contracts 2005-06-09 2016-07-25
ACN181 YOON Chi Won RO Dealing in Futures Contracts 2003-09-15 2005-06-09
ACN181 YOON Chi Won RE Advising on Securities 2003-04-01 2003-06-11
ACN181 YOON Chi Won RE Advising on Securities 2005-06-09 2016-07-25
ACN181 YOON Chi Won RO Advising on Securities 2004-10-05 2005-06-09
ACN181 YOON Chi Won RE Advising on Futures Contracts 2003-04-01 2003-06-11
ACN181 YOON Chi Won RE Advising on Corporate Finance 2003-04-01 2003-06-11
ACN181 YOON Chi Won RE Asset Management 2003-04-01 2003-06-11
ACN926 DE SILVA Asitha Sanjeeva RE Dealing in Securities 2012-07-03 2018-05-16
ACO266 SIA Lim, Selina 謝琳 RE Advising on Securities 2004-07-12 2007-03-10
ACO365 LOOK Andrew 陸東 RE Dealing in Securities 2003-04-01 2005-03-24
ACO365 LOOK Andrew 陸東 RE Advising on Securities 2003-04-01 2007-07-05
ACO365 LOOK Andrew 陸東 RO Advising on Securities 2007-07-05 2008-08-06
ACO365 LOOK Andrew 陸東 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ACO365 LOOK Andrew 陸東 RE Asset Management 2003-04-01 2005-03-24
ACO622 HSU Chia Lin, Karen 徐嘉琳 RE Dealing in Securities 2003-04-01 2004-02-23
ACO622 HSU Chia Lin, Karen 徐嘉琳 RE Dealing in Futures Contracts 2003-04-01 2004-02-23
ACO622 HSU Chia Lin, Karen 徐嘉琳 RE Advising on Securities 2003-04-01 2004-02-23
ACO622 HSU Chia Lin, Karen 徐嘉琳 RE Advising on Futures Contracts 2003-04-01 2004-02-23
ACO622 HSU Chia Lin, Karen 徐嘉琳 RE Advising on Corporate Finance 2003-04-01 2004-02-23
ACO622 HSU Chia Lin, Karen 徐嘉琳 RE Asset Management 2003-04-01 2004-02-23
ACR153 SUN Steven John 孫常勝 RE Dealing in Securities 2003-04-01 2003-06-25
ACR153 SUN Steven John 孫常勝 RE Advising on Securities 2003-04-01 2003-06-25
ACR153 SUN Steven John 孫常勝 RE Advising on Corporate Finance 2003-04-01 2003-06-25
ACR153 SUN Steven John 孫常勝 RE Asset Management 2003-04-01 2003-06-25
ACR175 KIPPING Bryan Edward RE Dealing in Securities 2012-05-24 2016-05-20
ACR175 KIPPING Bryan Edward RE Dealing in Securities 2016-10-20 2016-10-28
ACR175 KIPPING Bryan Edward RE Dealing in Securities 2017-02-16 2017-02-24
ACR175 KIPPING Bryan Edward RE Dealing in Securities 2017-06-08 2017-06-16
ACR175 KIPPING Bryan Edward RE Dealing in Securities 2018-04-17 2018-04-27
ACR439 DELAHAYE Thibaut Vincent Pierre RE Dealing in Securities 2017-11-03 2017-11-09
ACR744 MCQUEEN Lee Michael RE Dealing in Securities 2003-04-01 2004-01-09
ACR744 MCQUEEN Lee Michael RE Dealing in Securities 2005-05-10 2009-04-04
ACR744 MCQUEEN Lee Michael RO Dealing in Securities 2004-01-09 2005-05-10
ACR744 MCQUEEN Lee Michael RE Dealing in Futures Contracts 2005-05-10 2009-04-04
ACR744 MCQUEEN Lee Michael RE Advising on Securities 2003-04-01 2003-10-14
ACR744 MCQUEEN Lee Michael RE Advising on Corporate Finance 2003-04-01 2003-10-14
ACR744 MCQUEEN Lee Michael RE Asset Management 2003-04-01 2003-10-14
ACR775 SAXVIK Eric Bradley RE Dealing in Securities 2003-04-01 2012-04-13
ACR775 SAXVIK Eric Bradley RE Dealing in Futures Contracts 2005-03-31 2012-04-13
ACR775 SAXVIK Eric Bradley RE Advising on Securities 2003-04-01 2005-03-07
ACR775 SAXVIK Eric Bradley RE Advising on Corporate Finance 2003-04-01 2005-03-07
ACR775 SAXVIK Eric Bradley RE Asset Management 2003-04-01 2005-03-07
ACR853 ORGILL Bradley Wayne RE Dealing in Securities 2005-03-24 2008-10-31
ACR853 ORGILL Bradley Wayne RO Dealing in Securities 2003-04-01 2005-03-24
ACR853 ORGILL Bradley Wayne RO Advising on Securities 2003-04-01 2005-03-24
ACR853 ORGILL Bradley Wayne RO Advising on Corporate Finance 2003-04-01 2005-02-04
ACR853 ORGILL Bradley Wayne RO Asset Management 2003-04-01 2005-02-04
ACS226 WOODWARD Anthony James Passingham RE Dealing in Securities 2008-09-23
ACS226 WOODWARD Anthony James Passingham RE Dealing in Futures Contracts 2008-09-23
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2010-07-30 2012-06-16
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2015-03-11 2015-03-17
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2015-09-02 2015-09-08
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2016-03-10 2016-03-17
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2016-03-24 2016-03-30
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2016-11-17 2016-11-24
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2017-02-01 2017-02-07
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2017-06-28 2017-07-03
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2017-12-07 2017-12-13
ACS236 GISBOURNE Ian Mark RE Advising on Securities 2017-12-27
ACS896 GAW Christina 吳燕安 RE Dealing in Securities 2003-04-01 2008-06-14
ACS896 GAW Christina 吳燕安 RE Advising on Securities 2003-04-01 2005-03-24
ACS896 GAW Christina 吳燕安 RE Advising on Corporate Finance 2003-04-01 2005-02-04
ACS896 GAW Christina 吳燕安 RE Asset Management 2003-04-01 2005-02-04
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RE Dealing in Securities 2005-05-20 2007-04-28
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RO Dealing in Securities 2003-04-01 2005-05-20
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RE Dealing in Futures Contracts 2005-05-20 2007-04-28
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RO Dealing in Futures Contracts 2003-04-01 2005-05-20
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RO Advising on Securities 2003-04-01 2005-02-07
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RO Advising on Futures Contracts 2003-04-01 2005-02-04
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RO Advising on Corporate Finance 2003-04-01 2005-02-04
ACV741 CHENG Min Tat, Jimmy 鄭勉達 RO Asset Management 2003-04-01 2005-02-04
ACV752 JACOBSON John Brennan RE Dealing in Securities 2003-04-01 2003-09-02
ACV752 JACOBSON John Brennan RO Dealing in Securities 2003-09-02 2006-04-03
ACV752 JACOBSON John Brennan RE Advising on Securities 2003-04-01 2003-06-11
ACV752 JACOBSON John Brennan RE Advising on Corporate Finance 2003-04-01 2003-06-11
ACV752 JACOBSON John Brennan RE Asset Management 2003-04-01 2003-06-11
ACW239 LEE Fai Man 李輝敏 RE Dealing in Securities 2003-04-01 2010-03-22
ACW239 LEE Fai Man 李輝敏 RE Advising on Securities 2003-04-01 2005-03-24
ACW239 LEE Fai Man 李輝敏 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ACW239 LEE Fai Man 李輝敏 RE Asset Management 2003-04-01 2005-03-24
ACY687 ZHANG Huaqiao 張化橋 RE Advising on Securities 2003-04-01 2006-03-23
ACY687 ZHANG Huaqiao 張化橋 RE Advising on Corporate Finance 2003-04-01 2005-02-04
ACY687 ZHANG Huaqiao 張化橋 RE Asset Management 2003-04-01 2005-02-04
ACZ236 VINAIS Pascal Thierry Jean-Marie RE Dealing in Securities 2006-02-27 2008-06-21
ACZ236 VINAIS Pascal Thierry Jean-Marie RE Dealing in Futures Contracts 2006-02-27 2008-06-21
ACZ477 BROWN Andrew Ollie RE Advising on Securities 2009-05-11 2011-03-30
ACZ478 LAM Hung Kai 林鴻楷 RE Dealing in Securities 2009-12-08 2017-07-15
ACZ478 LAM Hung Kai 林鴻楷 RE Dealing in Futures Contracts 2009-12-08 2017-07-15
ACZ609 CHIN Michael Jaewuk RE Dealing in Securities 2003-04-01 2006-09-04
ACZ609 CHIN Michael Jaewuk RE Dealing in Securities 2010-01-27 2010-07-05
ACZ609 CHIN Michael Jaewuk RO Dealing in Securities 2006-09-04 2010-01-27
ACZ609 CHIN Michael Jaewuk RE Advising on Securities 2003-04-01 2005-03-24
ACZ609 CHIN Michael Jaewuk RE Advising on Corporate Finance 2003-04-01 2005-03-24
ACZ609 CHIN Michael Jaewuk RE Asset Management 2003-04-01 2005-03-24
ACZ640 LIN Wan Ni 林宛霓 RE Dealing in Securities 2005-02-07 2007-04-02
ACZ725 RAHA Arup RE Advising on Securities 2003-04-01 2003-04-11
ACZ725 RAHA Arup RE Advising on Corporate Finance 2003-04-01 2003-04-11
ACZ725 RAHA Arup RE Asset Management 2003-04-01 2003-04-11
ADB039 PARTHASARATHY Raja RE Advising on Securities 2003-04-01 2003-06-25
ADB039 PARTHASARATHY Raja RE Advising on Corporate Finance 2003-04-01 2003-06-25
ADB039 PARTHASARATHY Raja RE Asset Management 2003-04-01 2003-06-25
ADB688 BIBBY Nicholas Paley RE Advising on Securities 2003-04-01 2003-05-30
ADB688 BIBBY Nicholas Paley RE Advising on Corporate Finance 2003-04-01 2003-05-30
ADB688 BIBBY Nicholas Paley RE Asset Management 2003-04-01 2003-05-30
ADC078 DOWIE Mark Peter Louden RO Dealing in Securities 2003-04-01 2004-04-01
ADC078 DOWIE Mark Peter Louden RO Advising on Corporate Finance 2003-04-01 2004-04-01
ADC081 SAUNDERS Scott Antony RE Dealing in Securities 2005-05-20 2005-10-27
ADC081 SAUNDERS Scott Antony RO Dealing in Securities 2003-04-01 2005-05-20
ADD198 SUBRAMANIAM Mohan RE Dealing in Futures Contracts 2006-10-02 2008-11-06
ADF140 WAN Yew Chye 范有財 RE Dealing in Securities 2006-10-02 2012-02-07
ADF140 WAN Yew Chye 范有財 RE Dealing in Futures Contracts 2006-10-02 2012-02-07
ADF373 IWATA Masataka RE Dealing in Securities 2007-03-06 2010-06-26
ADH384 NG Hooi Chong 黃慧聰 RE Dealing in Securities 2003-04-01 2003-04-30
ADH384 NG Hooi Chong 黃慧聰 RE Advising on Securities 2003-04-01 2003-04-30
ADH384 NG Hooi Chong 黃慧聰 RE Advising on Corporate Finance 2003-04-01 2003-04-30
ADH384 NG Hooi Chong 黃慧聰 RE Asset Management 2003-04-01 2003-04-30
ADH585 OR Felix 柯柏年 RE Dealing in Securities 2010-06-22 2014-05-15
ADI733 WU Hai Feng 吳海鋒 RE Advising on Securities 2004-03-01 2009-01-10
ADI852 SUNG Kin Man 宋建文 RE Dealing in Securities 2009-01-19 2009-10-31
ADI852 SUNG Kin Man 宋建文 RE Dealing in Futures Contracts 2009-02-03 2009-10-31
ADJ383 NG Wai Kwong 吳衛剛 RE Dealing in Securities 2006-10-02 2008-04-17
ADJ383 NG Wai Kwong 吳衛剛 RE Dealing in Futures Contracts 2006-10-02 2008-04-17
ADJ647 DING Yibing 丁一賓 RE Dealing in Securities 2006-04-21 2008-01-01
ADJ647 DING Yibing 丁一賓 RE Advising on Securities 2003-04-01 2004-07-01
ADJ647 DING Yibing 丁一賓 RE Advising on Securities 2006-04-21 2008-01-01
ADJ647 DING Yibing 丁一賓 RE Advising on Corporate Finance 2003-04-01 2004-07-01
ADJ647 DING Yibing 丁一賓 RE Asset Management 2003-04-01 2004-07-01
ADJ820 COFFENG John Martinus RE Dealing in Securities 2003-04-01 2010-09-06
ADJ820 COFFENG John Martinus RE Dealing in Futures Contracts 2003-04-01 2010-09-06
ADJ820 COFFENG John Martinus RE Advising on Securities 2003-04-01 2005-03-24
ADJ820 COFFENG John Martinus RE Advising on Futures Contracts 2003-04-01 2005-02-04
ADJ820 COFFENG John Martinus RE Advising on Corporate Finance 2003-04-01 2005-02-04
ADJ820 COFFENG John Martinus RE Asset Management 2003-04-01 2005-02-04
ADJ822 SANCHEZ Marlon Mikhail RE Dealing in Securities 2003-04-01 2006-05-16
ADJ822 SANCHEZ Marlon Mikhail RE Dealing in Futures Contracts 2004-11-26 2006-05-16
ADJ822 SANCHEZ Marlon Mikhail RE Advising on Securities 2003-04-01 2004-11-16
ADJ822 SANCHEZ Marlon Mikhail RE Advising on Corporate Finance 2003-04-01 2004-11-16
ADJ822 SANCHEZ Marlon Mikhail RE Asset Management 2003-04-01 2004-11-16
ADK592 LANGNER Gilbert Fred RE Dealing in Securities 2010-10-14 2012-10-25
ADK592 LANGNER Gilbert Fred RE Dealing in Futures Contracts 2010-10-14 2012-10-25
ADL598 JOHNSON Pekka David RE Dealing in Securities 2003-04-01 2005-03-21
ADL598 JOHNSON Pekka David RE Advising on Securities 2003-04-01 2005-03-21
ADL598 JOHNSON Pekka David RE Advising on Corporate Finance 2003-04-01 2005-03-21
ADL598 JOHNSON Pekka David RE Asset Management 2003-04-01 2005-03-21
ADM103 SANDS Steven RE Dealing in Securities 2013-05-13 2013-08-13
ADN228 MANN Sukhdev Singh RE Advising on Securities 2015-01-23 2015-01-29
ADQ120 HOUSSIAN Iven RE Dealing in Securities 2003-04-01 2004-07-06
ADQ120 HOUSSIAN Iven RE Advising on Securities 2003-04-01 2004-07-06
ADQ120 HOUSSIAN Iven RE Advising on Corporate Finance 2003-04-01 2004-07-06
ADQ120 HOUSSIAN Iven RE Asset Management 2003-04-01 2004-07-06
ADQ675 OLDFIELD Stephen Michael RE Advising on Securities 2007-02-12 2018-08-04
ADR216 HANSEN-LUKE Rosemary Eva RE Dealing in Securities 2006-05-09 2008-05-17
ADR277 TSE Ka Wai, Jaff 謝家威 RE Dealing in Securities 2003-04-01 2003-04-10
ADR277 TSE Ka Wai, Jaff 謝家威 RE Advising on Securities 2003-04-01 2003-04-10
ADR277 TSE Ka Wai, Jaff 謝家威 RE Advising on Corporate Finance 2003-04-01 2003-04-10
ADR277 TSE Ka Wai, Jaff 謝家威 RE Asset Management 2003-04-01 2003-04-10
ADR668 COX Carrie Bigelow RE Dealing in Securities 2003-04-01 2004-04-15
ADR668 COX Carrie Bigelow RE Advising on Securities 2003-04-01 2004-04-15
ADR668 COX Carrie Bigelow RE Advising on Corporate Finance 2003-04-01 2004-04-15
ADR668 COX Carrie Bigelow RE Asset Management 2003-04-01 2004-04-15
ADR824 LEE Man Fat, Samuel 李萬發 RE Dealing in Securities 2004-12-03 2009-09-05
ADR824 LEE Man Fat, Samuel 李萬發 RE Dealing in Futures Contracts 2004-12-03 2009-09-05
ADS121 PRICE Edmund Hugh Owain RE Advising on Securities 2003-04-01 2003-06-25
ADS121 PRICE Edmund Hugh Owain RE Advising on Corporate Finance 2003-04-01 2003-06-25
ADS121 PRICE Edmund Hugh Owain RE Asset Management 2003-04-01 2003-06-25
ADS141 HO Lap Sze, Beatrice 何立思 RE Advising on Securities 2003-04-01 2004-04-23
ADS141 HO Lap Sze, Beatrice 何立思 RE Advising on Corporate Finance 2003-04-01 2004-04-23
ADS141 HO Lap Sze, Beatrice 何立思 RE Asset Management 2003-04-01 2004-04-23
ADS271 BESHKE Clarence John RE Dealing in Securities 2010-10-15 2013-11-16
ADS271 BESHKE Clarence John RO Dealing in Securities 2003-04-01 2010-10-15
ADS271 BESHKE Clarence John RE Dealing in Futures Contracts 2010-10-15 2013-11-16
ADS271 BESHKE Clarence John RO Dealing in Futures Contracts 2003-04-01 2010-10-15
ADS285 CHENG Kwok Wai 鄭國偉 RE Advising on Securities 2003-04-01 2005-04-27
ADS285 CHENG Kwok Wai 鄭國偉 RO Advising on Securities 2005-04-27 2007-01-01
ADS285 CHENG Kwok Wai 鄭國偉 RE Advising on Corporate Finance 2003-04-01 2005-03-01
ADS285 CHENG Kwok Wai 鄭國偉 RE Asset Management 2003-04-01 2005-03-01
ADS446 FANG Sean 方頌和 RE Advising on Securities 2003-04-01 2003-06-25
ADS446 FANG Sean 方頌和 RE Advising on Corporate Finance 2003-04-01 2003-06-25
ADS446 FANG Sean 方頌和 RE Asset Management 2003-04-01 2003-06-25
ADS722 HAN Chia-Lei 韓嘉蕾 RE Dealing in Securities 2010-03-19
ADS722 HAN Chia-Lei 韓嘉蕾 RE Dealing in Futures Contracts 2010-03-19
ADT132 WILLIAMS Sian Elizabeth RE Dealing in Securities 2003-04-01 2004-05-28
ADT132 WILLIAMS Sian Elizabeth RE Advising on Securities 2003-04-01 2004-05-28
ADT132 WILLIAMS Sian Elizabeth RE Advising on Corporate Finance 2003-04-01 2004-05-28
ADT132 WILLIAMS Sian Elizabeth RE Asset Management 2003-04-01 2004-05-28
ADT385 CHIN Hung I 金弘毅 RO Advising on Securities 2003-04-01 2004-07-01
ADT385 CHIN Hung I 金弘毅 RO Advising on Corporate Finance 2003-04-01 2004-07-01
ADT385 CHIN Hung I 金弘毅 RO Asset Management 2003-04-01 2004-07-01
ADT574 BLANCHARD Scott Allen RE Dealing in Securities 2011-06-20 2017-07-25
ADT574 BLANCHARD Scott Allen RE Dealing in Futures Contracts 2011-06-20 2017-07-25
ADU277 PO Wai Sze, Alice 保慧思 RE Dealing in Securities 2003-04-01 2005-03-24
ADU277 PO Wai Sze, Alice 保慧思 RE Advising on Securities 2003-04-01 2005-08-18
ADU277 PO Wai Sze, Alice 保慧思 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ADU277 PO Wai Sze, Alice 保慧思 RE Asset Management 2003-04-01 2005-03-24
ADU633 LAM Hu Yang 林曉陽 RE Dealing in Securities 2003-04-01 2006-09-16
ADU633 LAM Hu Yang 林曉陽 RE Dealing in Futures Contracts 2003-06-11 2006-09-16
ADU633 LAM Hu Yang 林曉陽 RE Advising on Securities 2003-04-01 2003-05-12
ADU633 LAM Hu Yang 林曉陽 RE Advising on Corporate Finance 2003-04-01 2003-05-12
ADU633 LAM Hu Yang 林曉陽 RE Asset Management 2003-04-01 2003-05-12
ADV071 AU Sin Yee, Eva 區善宜 RE Dealing in Securities 2003-09-08 2008-10-04
ADV635 PEH Chong Ghee 白仲儀 RE Advising on Securities 2006-07-05 2014-07-10
ADW509 YANG Kai 楊凱 RE Advising on Securities 2003-04-01 2004-07-01
ADW509 YANG Kai 楊凱 RE Advising on Corporate Finance 2003-04-01 2004-07-01
ADW509 YANG Kai 楊凱 RE Asset Management 2003-04-01 2004-07-01
ADW849 LIU Hsing Wei 劉醒威 RE Advising on Securities 2010-08-02 2017-03-11
ADX152 CHOW Siu Han 周笑嫻 RE Dealing in Securities 2003-04-01 2003-06-25
ADX152 CHOW Siu Han 周笑嫻 RE Advising on Securities 2003-04-01 2003-06-25
ADX152 CHOW Siu Han 周笑嫻 RE Advising on Corporate Finance 2003-04-01 2003-06-25
ADX152 CHOW Siu Han 周笑嫻 RE Asset Management 2003-04-01 2003-06-25
ADX263 NG Tze Chiew, Diana 黃紫秋 RE Dealing in Securities 2003-04-01 2004-10-20
ADX263 NG Tze Chiew, Diana 黃紫秋 RE Advising on Securities 2003-04-01 2004-10-20
ADX263 NG Tze Chiew, Diana 黃紫秋 RE Advising on Corporate Finance 2003-04-01 2004-10-20
ADX263 NG Tze Chiew, Diana 黃紫秋 RE Asset Management 2003-04-01 2004-10-20
ADX445 PERRETT Yuko RE Dealing in Securities 2013-08-29 2013-09-29
ADX445 PERRETT Yuko RE Dealing in Securities 2016-03-29 2016-04-13
ADX522 BURNETT Peter William RO Dealing in Securities 2003-04-01 2003-06-25
ADX522 BURNETT Peter William RO Advising on Securities 2003-04-01 2003-06-25
ADX522 BURNETT Peter William RO Advising on Corporate Finance 2003-04-01 2003-06-25
ADX522 BURNETT Peter William RO Asset Management 2003-04-01 2003-06-25
ADY288 HUNG Lok Ming, Gary 熊洛銘 RE Dealing in Securities 2003-04-01 2006-03-04
ADY288 HUNG Lok Ming, Gary 熊洛銘 RE Dealing in Futures Contracts 2003-06-11 2006-03-04
ADY288 HUNG Lok Ming, Gary 熊洛銘 RE Advising on Securities 2003-04-01 2003-05-12
ADY288 HUNG Lok Ming, Gary 熊洛銘 RE Advising on Corporate Finance 2003-04-01 2003-05-12
ADY288 HUNG Lok Ming, Gary 熊洛銘 RE Asset Management 2003-04-01 2003-05-12
ADY936 CHAN YEUNG Mo Bik, Virginia 陳楊慕碧 RE Dealing in Securities 2003-04-01 2006-05-26
ADY936 CHAN YEUNG Mo Bik, Virginia 陳楊慕碧 RE Advising on Securities 2003-04-01 2005-03-24
ADY936 CHAN YEUNG Mo Bik, Virginia 陳楊慕碧 RE Advising on Corporate Finance 2003-04-01 2005-02-04
ADY936 CHAN YEUNG Mo Bik, Virginia 陳楊慕碧 RE Asset Management 2003-04-01 2005-02-04
ADY964 CHAN Yuen Han, Amy 陳婉嫻 RE Dealing in Securities 2003-04-01 2008-08-28
ADY964 CHAN Yuen Han, Amy 陳婉嫻 RE Advising on Securities 2003-04-01 2005-03-24
ADY964 CHAN Yuen Han, Amy 陳婉嫻 RE Advising on Corporate Finance 2003-04-01 2005-03-24
ADY964 CHAN Yuen Han, Amy 陳婉嫻 RE Asset Management 2003-04-01 2005-03-24
ADZ579 HEUNG Chun Wai 香鎮偉 RE Advising on Securities 2007-08-07 2009-09-23
AEA526 YIP Shuk Ling 葉淑玲 RE Dealing in Securities 2003-04-01 2009-12-03
AEA526 YIP Shuk Ling 葉淑玲 RE Dealing in Futures Contracts 2003-05-06 2009-12-03
AEA526 YIP Shuk Ling 葉淑玲 RE Advising on Securities 2003-04-01 2003-04-29
AEA526 YIP Shuk Ling 葉淑玲 RE Advising on Corporate Finance 2003-04-01 2003-04-29
AEA526 YIP Shuk Ling 葉淑玲 RE Asset Management 2003-04-01 2003-04-29
AEB584 LEONG Vui Ling 梁偉靈 RE Dealing in Securities 2003-04-01 2006-03-01
AEB584 LEONG Vui Ling 梁偉靈 RE Advising on Securities 2003-04-01 2005-03-24
AEB584 LEONG Vui Ling 梁偉靈 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AEB584 LEONG Vui Ling 梁偉靈 RE Asset Management 2003-04-01 2005-03-24
AEC034 LAM Chi Yin, Yvonne 林志賢 RE Dealing in Securities 2015-09-22 2017-03-25
AEC940 TAYLOR Christopher Michael RE Dealing in Securities 2003-04-01 2003-04-15
AEC940 TAYLOR Christopher Michael RE Advising on Securities 2003-04-01 2003-04-15
AEC940 TAYLOR Christopher Michael RE Advising on Corporate Finance 2003-04-01 2003-04-15
AEC940 TAYLOR Christopher Michael RE Asset Management 2003-04-01 2003-04-15
AED013 CHI Lai Hoi, Alex 朱禮開 RE Dealing in Securities 2003-10-31 2004-03-08
AED148 LAI Wai Tsun, Paul 賴維津 RE Dealing in Securities 2003-04-01 2004-07-01
AED148 LAI Wai Tsun, Paul 賴維津 RE Advising on Securities 2003-04-01 2004-07-01
AED148 LAI Wai Tsun, Paul 賴維津 RE Advising on Corporate Finance 2003-04-01 2004-07-01
AED148 LAI Wai Tsun, Paul 賴維津 RE Asset Management 2003-04-01 2004-07-01
AED789 LAI Wing Yi 黎詠儀 RE Dealing in Securities 2003-04-01 2003-05-30
AED789 LAI Wing Yi 黎詠儀 RE Advising on Securities 2003-04-01 2003-05-30
AED789 LAI Wing Yi 黎詠儀 RE Advising on Corporate Finance 2003-04-01 2003-05-30
AED789 LAI Wing Yi 黎詠儀 RE Asset Management 2003-04-01 2003-05-30
AEE172 MOK Hoi Chung 莫海忠 RE Dealing in Securities 2010-03-02 2011-05-03
AEE172 MOK Hoi Chung 莫海忠 RE Dealing in Futures Contracts 2010-03-02 2011-05-03
AEF918 MA Kwun Yea 馬君意 RE Dealing in Securities 2003-04-01 2005-03-24
AEF918 MA Kwun Yea 馬君意 RE Advising on Securities 2003-04-01 2006-02-28
AEF918 MA Kwun Yea 馬君意 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AEF918 MA Kwun Yea 馬君意 RE Asset Management 2003-04-01 2005-03-24
AEI990 CHUNG Rex R K RE Dealing in Securities 2003-04-01 2003-06-25
AEI990 CHUNG Rex R K RE Dealing in Futures Contracts 2003-04-01 2003-06-25
AEI990 CHUNG Rex R K RE Advising on Securities 2003-04-01 2003-06-25
AEI990 CHUNG Rex R K RE Advising on Futures Contracts 2003-04-01 2003-06-25
AEI990 CHUNG Rex R K RE Advising on Corporate Finance 2003-04-01 2003-06-25
AEI990 CHUNG Rex R K RE Asset Management 2003-04-01 2003-06-25
AEJ606 KHOO Chiew Cheng 邱秋清 RE Dealing in Securities 2003-04-01 2005-03-24
AEJ606 KHOO Chiew Cheng 邱秋清 RE Advising on Securities 2003-04-01 2006-04-21
AEJ606 KHOO Chiew Cheng 邱秋清 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AEJ606 KHOO Chiew Cheng 邱秋清 RE Asset Management 2003-04-01 2005-03-24
AEJ838 LEUNG Mary Ka Yan 梁家恩 RE Dealing in Securities 2003-04-01 2003-06-25
AEJ838 LEUNG Mary Ka Yan 梁家恩 RE Advising on Securities 2003-04-01 2003-06-25
AEJ838 LEUNG Mary Ka Yan 梁家恩 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AEJ838 LEUNG Mary Ka Yan 梁家恩 RE Asset Management 2003-04-01 2003-06-25
AEK432 CHUNG Suk Moon 鄭碩紋 RE Dealing in Securities 2003-04-01 2004-06-03
AEK432 CHUNG Suk Moon 鄭碩紋 RE Advising on Securities 2003-04-01 2004-06-03
AEK432 CHUNG Suk Moon 鄭碩紋 RE Advising on Corporate Finance 2003-04-01 2004-06-03
AEK432 CHUNG Suk Moon 鄭碩紋 RE Asset Management 2003-04-01 2004-06-03
AEK574 EARY Richard James RE Advising on Securities 2009-06-03 2016-04-11
AEK574 EARY Richard James RE Advising on Securities 2017-11-20 2017-11-24
AEL321 PAK Sze Chai, Stephen 白思齊 RE Dealing in Securities 2010-09-01
AEL657 HE Di 何迪 RE Advising on Securities 2003-04-01 2003-06-25
AEL657 HE Di 何迪 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AEL657 HE Di 何迪 RE Asset Management 2003-04-01 2003-06-25
AEL713 BARROS III Belmiro Jose RE Dealing in Futures Contracts 2006-10-02 2007-03-30
AEM366 FENN Nigel Alec RE Dealing in Securities 2015-02-04 2015-02-06
AEM743 LEUNG Kendall 梁敬德 RE Dealing in Securities 2010-06-21 2014-05-20
AEO696 CHEN Chien-yao 陳建堯 RE Dealing in Securities 2010-09-06 2012-03-31
AEO696 CHEN Chien-yao 陳建堯 RE Dealing in Futures Contracts 2010-09-06 2012-03-31
AEO731 PANG Kwok Kit, Kenneth 彭國傑 RE Dealing in Securities 2003-04-01 2009-04-08
AEO731 PANG Kwok Kit, Kenneth 彭國傑 RE Dealing in Futures Contracts 2003-06-11 2009-04-08
AEO731 PANG Kwok Kit, Kenneth 彭國傑 RE Advising on Securities 2003-04-01 2003-05-12
AEO731 PANG Kwok Kit, Kenneth 彭國傑 RE Advising on Corporate Finance 2003-04-01 2003-05-12
AEO731 PANG Kwok Kit, Kenneth 彭國傑 RE Asset Management 2003-04-01 2003-05-12
AEO780 CHANDLER Benjamin Victor Michael RE Dealing in Securities 2011-06-29
AEO780 CHANDLER Benjamin Victor Michael RE Dealing in Futures Contracts 2011-06-29
AER425 QUAH Chiang Ming 柯江明 RE Dealing in Securities 2004-08-30 2017-07-15
AER425 QUAH Chiang Ming 柯江明 RE Dealing in Futures Contracts 2008-06-05 2017-07-15
AER836 TAKASUMI Koji James RE Dealing in Securities 2011-10-20 2016-06-01
AES430 BARKER Angus Jack Rutherford RE Advising on Corporate Finance 2003-05-06 2003-07-03
AES431 CHENAUX-REPOND Lorenz Michael RE Advising on Securities 2003-04-01 2003-06-25
AES431 CHENAUX-REPOND Lorenz Michael RE Advising on Corporate Finance 2003-04-01 2003-06-25
AES431 CHENAUX-REPOND Lorenz Michael RE Asset Management 2003-04-01 2003-06-25
AES876 LOUIE Kwok Yi , Paul 雷國怡 RE Advising on Securities 2003-04-01 2005-07-19
AES876 LOUIE Kwok Yi , Paul 雷國怡 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AES876 LOUIE Kwok Yi , Paul 雷國怡 RE Asset Management 2003-04-01 2005-03-24
AET363 KUAN Shu Shin 關素馨 RE Dealing in Securities 2003-04-01 2004-03-12
AET363 KUAN Shu Shin 關素馨 RE Advising on Securities 2003-04-01 2004-03-12
AET363 KUAN Shu Shin 關素馨 RE Advising on Corporate Finance 2003-04-01 2004-03-12
AET363 KUAN Shu Shin 關素馨 RE Asset Management 2003-04-01 2004-03-12
AET370 JOHNSTON Richard William RE Dealing in Securities 2003-04-01 2004-04-14
AET370 JOHNSTON Richard William RE Advising on Securities 2003-04-01 2003-06-11
AET370 JOHNSTON Richard William RE Advising on Corporate Finance 2003-04-01 2003-06-11
AET370 JOHNSTON Richard William RE Asset Management 2003-04-01 2003-06-11
AET878 LIEW Yew Wah RE Dealing in Securities 2003-04-01 2004-04-28
AET878 LIEW Yew Wah RE Dealing in Futures Contracts 2003-05-06 2004-04-28
AET878 LIEW Yew Wah RE Advising on Securities 2003-04-01 2003-04-29
AET878 LIEW Yew Wah RE Advising on Corporate Finance 2003-04-01 2003-04-29
AET878 LIEW Yew Wah RE Asset Management 2003-04-01 2003-04-29
AEU252 MELWANI Rajesh Ramesh RE Dealing in Securities 2003-04-01 2010-01-26
AEU252 MELWANI Rajesh Ramesh RE Dealing in Futures Contracts 2003-04-01 2010-01-26
AEU252 MELWANI Rajesh Ramesh RE Advising on Securities 2003-04-01 2005-03-24
AEU252 MELWANI Rajesh Ramesh RE Advising on Futures Contracts 2003-04-01 2005-02-04
AEU252 MELWANI Rajesh Ramesh RE Advising on Corporate Finance 2003-04-01 2005-03-24
AEU252 MELWANI Rajesh Ramesh RE Asset Management 2003-04-01 2005-03-24
AEU432 WONG Chun Yu , Eric 王震宇 RE Advising on Securities 2003-04-01 2011-03-10
AEU432 WONG Chun Yu , Eric 王震宇 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AEU432 WONG Chun Yu , Eric 王震宇 RE Asset Management 2003-04-01 2005-03-24
AEU633 WOOLDRIDGE Duncan Samuel RE Advising on Securities 2003-06-27 2017-06-10
AEW312 KIM Su Mi 金秀美 RE Advising on Securities 2003-04-01 2003-06-25
AEW312 KIM Su Mi 金秀美 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AEW312 KIM Su Mi 金秀美 RE Asset Management 2003-04-01 2003-06-25
AEW793 CHEUNG Wing Hang 張永恆 RE Advising on Securities 2015-10-05 2016-04-02
AEW968 WONG Ronald Kwok Kit 黃國傑 RE Dealing in Securities 2003-04-01 2003-06-18
AEW968 WONG Ronald Kwok Kit 黃國傑 RE Advising on Securities 2003-04-01 2003-06-18
AEW968 WONG Ronald Kwok Kit 黃國傑 RE Advising on Corporate Finance 2003-04-01 2003-06-18
AEW968 WONG Ronald Kwok Kit 黃國傑 RE Asset Management 2003-04-01 2003-06-18
AEX691 ROSS Timothy Wakefield RE Advising on Securities 2003-04-01 2005-05-03
AEX691 ROSS Timothy Wakefield RE Advising on Corporate Finance 2003-04-01 2005-03-24
AEX691 ROSS Timothy Wakefield RE Asset Management 2003-04-01 2005-03-24
AEY997 JEONG Joseph Chu RE Dealing in Securities 2003-04-01 2003-07-29
AEY997 JEONG Joseph Chu RE Advising on Securities 2003-04-01 2003-07-29
AEY997 JEONG Joseph Chu RE Advising on Corporate Finance 2003-04-01 2003-07-29
AEY997 JEONG Joseph Chu RE Asset Management 2003-04-01 2003-07-29
AEZ956 BAHUREL Julien Yves RE Dealing in Securities 2010-11-01 2011-08-31
AEZ956 BAHUREL Julien Yves RO Dealing in Securities 2011-08-31 2013-04-06
AEZ956 BAHUREL Julien Yves RE Dealing in Futures Contracts 2010-11-01 2011-08-31
AEZ956 BAHUREL Julien Yves RO Dealing in Futures Contracts 2011-08-31 2013-04-06
AFA291 OERTLI Michael RO Advising on Securities 2003-04-01 2004-04-22
AFA291 OERTLI Michael RO Advising on Corporate Finance 2003-04-01 2004-04-22
AFA291 OERTLI Michael RO Asset Management 2003-04-01 2004-04-22
AFA670 PARK Min RE Dealing in Securities 2003-04-01 2004-07-29
AFA670 PARK Min RO Dealing in Securities 2004-07-29 2009-04-15
AFA670 PARK Min RO Dealing in Futures Contracts 2004-07-29 2009-04-15
AFA670 PARK Min RE Advising on Securities 2003-04-01 2004-05-20
AFA670 PARK Min RE Advising on Corporate Finance 2003-04-01 2004-05-20
AFA670 PARK Min RE Asset Management 2003-04-01 2004-05-20
AFA721 MCLENNAN Ian Richard James RE Advising on Securities 2003-04-01 2004-01-02
AFA721 MCLENNAN Ian Richard James RE Advising on Corporate Finance 2003-04-01 2004-01-02
AFA721 MCLENNAN Ian Richard James RE Asset Management 2003-04-01 2004-01-02
AFB130 FISHER Jocelyn Howard RE Dealing in Securities 2003-04-01 2004-03-15
AFB130 FISHER Jocelyn Howard RE Advising on Securities 2003-04-01 2004-03-15
AFB130 FISHER Jocelyn Howard RE Advising on Corporate Finance 2003-04-01 2004-03-15
AFB130 FISHER Jocelyn Howard RE Asset Management 2003-04-01 2004-03-15
AFC195 FERGUSSON David Andrew Charles RE Dealing in Securities 2005-04-28 2006-07-21
AFC401 WONG Lai Man 王麗雯 RE Dealing in Securities 2015-08-28
AFC953 CHAN Kok Heng, Andy RE Dealing in Securities 2003-04-01 2010-05-20
AFC953 CHAN Kok Heng, Andy RO Dealing in Securities 2010-05-20 2011-02-16
AFC953 CHAN Kok Heng, Andy RE Dealing in Futures Contracts 2005-10-25 2011-02-16
AFC953 CHAN Kok Heng, Andy RE Advising on Securities 2003-04-01 2005-03-24
AFC953 CHAN Kok Heng, Andy RE Advising on Corporate Finance 2003-04-01 2005-02-04
AFC953 CHAN Kok Heng, Andy RE Asset Management 2003-04-01 2005-02-04
AFC956 HUI Ming Lai, Albert 許明禮 RE Dealing in Securities 2006-06-16 2007-06-19
AFC956 HUI Ming Lai, Albert 許明禮 RE Advising on Securities 2006-06-12 2006-06-16
AFD453 CHAN Winnie 陳韻妮 RE Dealing in Securities 2003-04-01 2003-06-25
AFD453 CHAN Winnie 陳韻妮 RE Advising on Securities 2003-04-01 2003-06-25
AFD453 CHAN Winnie 陳韻妮 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AFD453 CHAN Winnie 陳韻妮 RE Asset Management 2003-04-01 2003-06-25
AFD553 TAN Sze Ling, Snowy 陳施霖 RE Dealing in Securities 2004-08-09 2005-06-02
AFD553 TAN Sze Ling, Snowy 陳施霖 RE Dealing in Futures Contracts 2004-08-09 2005-06-02
AFD746 JACKAMO II Thomas Joseph RE Advising on Securities 2003-04-01 2003-06-25
AFD746 JACKAMO II Thomas Joseph RE Advising on Corporate Finance 2003-04-01 2003-06-25
AFD746 JACKAMO II Thomas Joseph RE Asset Management 2003-04-01 2003-06-25
AFE095 SUN Lucy Shin Su 孫心樹 RE Dealing in Securities 2003-05-15 2005-06-15
AFE509 XIAO Qing 肖清 RE Dealing in Securities 2003-04-01 2003-06-25
AFE509 XIAO Qing 肖清 RE Advising on Securities 2003-04-01 2003-06-25
AFE509 XIAO Qing 肖清 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AFE509 XIAO Qing 肖清 RE Asset Management 2003-04-01 2003-06-25
AFE790 HO Wai Yin, William 何偉賢 RE Advising on Securities 2003-04-01 2004-04-14
AFE790 HO Wai Yin, William 何偉賢 RE Advising on Corporate Finance 2003-04-01 2004-04-14
AFE790 HO Wai Yin, William 何偉賢 RE Asset Management 2003-04-01 2004-04-14
AFE991 FANG Dongming 房東明 RE Dealing in Securities 2003-04-01 2007-12-08
AFE991 FANG Dongming 房東明 RE Dealing in Securities 2009-06-23 2011-08-31
AFE991 FANG Dongming 房東明 RO Dealing in Securities 2011-08-31
AFE991 FANG Dongming 房東明 RE Dealing in Futures Contracts 2017-02-16
AFE991 FANG Dongming 房東明 RE Advising on Securities 2003-04-01 2005-03-24
AFE991 FANG Dongming 房東明 RE Advising on Corporate Finance 2003-04-01 2005-02-04
AFE991 FANG Dongming 房東明 RE Asset Management 2003-04-01 2005-02-04
AFF191 PERRETT David Michael RE Dealing in Securities 2004-11-23 2009-03-26
AFF191 PERRETT David Michael RE Dealing in Securities 2009-12-24 2012-03-28
AFF191 PERRETT David Michael RE Dealing in Futures Contracts 2004-11-23 2009-03-26
AFF191 PERRETT David Michael RE Dealing in Futures Contracts 2009-12-24 2012-03-28
AFF232 STRACHAN David Lyall RE Dealing in Securities 2013-10-15 2018-09-08
AFF232 STRACHAN David Lyall RE Dealing in Futures Contracts 2013-10-15 2018-09-08
AFG685 CHOI Sheung Ngai 蔡尚毅 RE Dealing in Securities 2015-05-05
AFG685 CHOI Sheung Ngai 蔡尚毅 RE Dealing in Futures Contracts 2015-05-05
AFG996 CHAN Chi Ming, Edwin 陳賜明 RE Advising on Securities 2007-03-28 2007-08-16
AFG996 CHAN Chi Ming, Edwin 陳賜明 RE Advising on Securities 2017-01-09 2017-09-01
AFG996 CHAN Chi Ming, Edwin 陳賜明 RO Advising on Securities 2007-08-16 2017-01-09
AFH048 CLIFFORD Timothy Edward RE Dealing in Securities 2003-04-01 2004-08-07
AFH048 CLIFFORD Timothy Edward RE Dealing in Securities 2013-07-15 2013-12-13
AFH048 CLIFFORD Timothy Edward RO Dealing in Securities 2013-12-13 2017-02-08
AFH048 CLIFFORD Timothy Edward RE Dealing in Futures Contracts 2013-07-15 2017-02-08
AFH048 CLIFFORD Timothy Edward RE Advising on Securities 2003-04-01 2004-08-07
AFH048 CLIFFORD Timothy Edward RE Advising on Corporate Finance 2003-04-01 2004-08-07
AFH048 CLIFFORD Timothy Edward RE Asset Management 2003-04-01 2004-08-07
AFH049 LIM Meng Phong 林明鳳 RE Dealing in Securities 2003-04-01 2017-06-28
AFH049 LIM Meng Phong 林明鳳 RE Dealing in Futures Contracts 2003-04-01 2017-06-28
AFH049 LIM Meng Phong 林明鳳 RE Advising on Securities 2003-04-01 2005-03-24
AFH049 LIM Meng Phong 林明鳳 RE Advising on Futures Contracts 2003-04-01 2005-02-04
AFH049 LIM Meng Phong 林明鳳 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFH049 LIM Meng Phong 林明鳳 RE Asset Management 2003-04-01 2005-03-24
AFJ228 VILLANUEVA Bryan Uy 蘇龍 RE Advising on Securities 2003-04-01 2003-06-25
AFJ228 VILLANUEVA Bryan Uy 蘇龍 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AFJ228 VILLANUEVA Bryan Uy 蘇龍 RE Asset Management 2003-04-01 2003-06-25
AFJ442 MC GRATH William Jude 馬格比利 RE Dealing in Securities 2007-07-27 2008-08-09
AFJ442 MC GRATH William Jude 馬格比利 RE Advising on Securities 2007-07-27 2008-08-09
AFJ932 WONG Chooi Peng, Angeline 黃翠萍 RE Dealing in Securities 2006-06-19 2010-05-12
AFK071 PATTERSON Richard John RE Dealing in Securities 2009-10-08 2010-11-11
AFK071 PATTERSON Richard John RO Dealing in Securities 2010-11-11 2013-05-28
AFK071 PATTERSON Richard John RE Dealing in Futures Contracts 2009-10-08 2013-05-28
AFK584 TAN Lien Seng RE Dealing in Securities 2003-04-01 2005-03-21
AFK584 TAN Lien Seng RE Dealing in Futures Contracts 2003-05-06 2005-03-21
AFK584 TAN Lien Seng RE Advising on Securities 2003-04-01 2003-04-29
AFK584 TAN Lien Seng RE Advising on Corporate Finance 2003-04-01 2003-04-29
AFK584 TAN Lien Seng RE Asset Management 2003-04-01 2003-04-29
AFK593 KILLA Navin RE Advising on Securities 2016-08-11
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Dealing in Securities 2011-09-06 2015-07-14
AFM190 LAU Yen Hou, Alexander 劉恩浩 RE Dealing in Futures Contracts 2011-09-06 2015-07-14
AFM257 NG Siok Leng 黃淑玲 RE Advising on Securities 2003-10-14 2008-05-14
AFO306 CHIA Tse Ern RE Dealing in Securities 2003-04-01 2004-03-26
AFO306 CHIA Tse Ern RE Advising on Securities 2003-04-01 2004-03-26
AFO306 CHIA Tse Ern RE Advising on Corporate Finance 2003-04-01 2004-03-26
AFO306 CHIA Tse Ern RE Asset Management 2003-04-01 2004-03-26
AFO880 SO Ferdinand 蘇平恩 RE Dealing in Securities 2004-03-26 2007-07-17
AFO880 SO Ferdinand 蘇平恩 RE Dealing in Futures Contracts 2004-03-26 2007-07-17
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Securities 2010-07-06 2010-10-27
AFQ412 O'MEARA Christopher James Sidney RO Dealing in Securities 2010-10-27 2014-04-10
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Futures Contracts 2010-07-06 2014-04-10
AFQ415 PATEL Jinesh Kiran RE Dealing in Securities 2003-04-01 2006-06-24
AFQ415 PATEL Jinesh Kiran RE Advising on Securities 2003-04-01 2005-03-24
AFQ415 PATEL Jinesh Kiran RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFQ415 PATEL Jinesh Kiran RE Asset Management 2003-04-01 2005-02-04
AFQ511 POON Ho Yan, Ada 潘可欣 RE Dealing in Securities 2004-07-05 2006-07-14
AFQ511 POON Ho Yan, Ada 潘可欣 RE Advising on Securities 2003-04-01 2004-07-01
AFQ511 POON Ho Yan, Ada 潘可欣 RE Advising on Corporate Finance 2003-04-01 2004-06-28
AFQ511 POON Ho Yan, Ada 潘可欣 RE Asset Management 2003-04-01 2004-06-28
AFQ896 HO Pui Kwan 何佩筠 RE Advising on Securities 2004-07-13 2006-03-25
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2003-04-01 2010-10-15
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2014-06-11 2015-01-28
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2015-04-01 2015-04-13
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2015-09-18 2015-09-26
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2015-11-16 2015-11-20
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2016-03-10 2016-03-19
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2016-09-01 2016-09-08
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2017-06-01 2017-06-09
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2017-08-24 2017-08-30
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2018-03-08 2018-04-12
AFQ906 REDBOURN Paul Robert RE Dealing in Securities 2018-08-22 2018-08-30
AFQ906 REDBOURN Paul Robert RO Dealing in Securities 2010-10-15 2014-06-11
AFQ906 REDBOURN Paul Robert RE Dealing in Futures Contracts 2003-05-14 2015-01-28
AFQ906 REDBOURN Paul Robert RE Advising on Securities 2003-04-01 2003-05-13
AFQ906 REDBOURN Paul Robert RE Advising on Corporate Finance 2003-04-01 2003-05-13
AFQ906 REDBOURN Paul Robert RE Asset Management 2003-04-01 2003-05-13
AFR449 LO Michael Sai Cheong 盧世昌 RE Advising on Securities 2003-11-25 2004-05-05
AFR867 HOLLAND John Michael Morgan RO Dealing in Securities 2003-04-01 2003-11-11
AFR867 HOLLAND John Michael Morgan RO Advising on Securities 2003-04-01 2003-11-11
AFR867 HOLLAND John Michael Morgan RO Asset Management 2003-04-01 2003-11-11
AFS219 WILSON David Andrew RE Dealing in Securities 2013-04-02 2015-03-28
AFS219 WILSON David Andrew RE Advising on Securities 2009-11-09 2013-04-02
AFS647 TAN Yew Boon 陳友文 RE Dealing in Securities 2003-04-01 2004-05-04
AFS647 TAN Yew Boon 陳友文 RE Dealing in Futures Contracts 2003-05-28 2004-05-04
AFS647 TAN Yew Boon 陳友文 RE Advising on Securities 2003-04-01 2003-05-05
AFS647 TAN Yew Boon 陳友文 RE Advising on Corporate Finance 2003-04-01 2003-05-05
AFS647 TAN Yew Boon 陳友文 RE Asset Management 2003-04-01 2003-05-05
AFT058 LEE Chi Wing, Eva Elizabeth 李智穎 RE Advising on Securities 2011-09-20 2018-08-31
AFT535 CHIU Mo Sze, Winnie 趙慕詩 RE Dealing in Securities 2009-09-28 2012-11-10
AFT535 CHIU Mo Sze, Winnie 趙慕詩 RE Dealing in Futures Contracts 2009-09-28 2012-11-10
AFT942 TSEA Po Kwan 謝寶君 RE Advising on Securities 2004-07-22 2006-01-03
AFT961 PICKSTONE Julian Charles RE Dealing in Securities 2003-04-01 2008-01-25
AFT961 PICKSTONE Julian Charles RE Advising on Securities 2003-04-01 2007-09-03
AFT961 PICKSTONE Julian Charles RO Advising on Securities 2007-09-03 2010-11-08
AFT961 PICKSTONE Julian Charles RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFT961 PICKSTONE Julian Charles RE Asset Management 2003-04-01 2005-02-04
AFU065 BASHAM Caroline Charlotte RE Dealing in Securities 2003-04-01 2004-08-17
AFU065 BASHAM Caroline Charlotte RE Advising on Securities 2003-04-01 2004-08-17
AFU065 BASHAM Caroline Charlotte RE Advising on Corporate Finance 2003-04-01 2004-08-17
AFU065 BASHAM Caroline Charlotte RE Asset Management 2003-04-01 2004-08-17
AFU204 LEE Won Jong RE Dealing in Securities 2003-04-01 2010-07-05
AFU204 LEE Won Jong RE Dealing in Securities 2012-10-12 2015-06-26
AFU204 LEE Won Jong RE Advising on Securities 2003-04-01 2005-03-24
AFU204 LEE Won Jong RE Advising on Securities 2012-10-12 2015-06-26
AFU204 LEE Won Jong RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFU204 LEE Won Jong RE Asset Management 2003-04-01 2005-03-24
AFU388 KWONG Marcus Mann 鄺孟芹 RE Dealing in Securities 2004-03-31 2009-04-25
AFU388 KWONG Marcus Mann 鄺孟芹 RE Dealing in Futures Contracts 2005-03-31 2009-04-25
AFU564 TSE Sze Wan, Shirley 謝詩韻 RE Dealing in Securities 2003-04-01 2005-03-24
AFU564 TSE Sze Wan, Shirley 謝詩韻 RE Advising on Securities 2003-04-01 2009-11-30
AFU564 TSE Sze Wan, Shirley 謝詩韻 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFU564 TSE Sze Wan, Shirley 謝詩韻 RE Asset Management 2003-04-01 2005-03-24
AFU845 YU Ming Lai 余明麗 RE Advising on Securities 2003-04-01 2003-06-02
AFU845 YU Ming Lai 余明麗 RE Advising on Corporate Finance 2003-04-01 2003-06-02
AFU845 YU Ming Lai 余明麗 RE Asset Management 2003-04-01 2003-06-02
AFV219 HU Joy Lan-Ya 胡嵐雅 RE Dealing in Securities 2003-09-30 2009-04-15
AFV377 LIM Kwan Lay, Sally 林冠麗 RE Dealing in Securities 2010-07-05 2012-08-02
AFV377 LIM Kwan Lay, Sally 林冠麗 RE Dealing in Futures Contracts 2010-07-05 2012-08-02
AFV517 KIM Thomas Sang RE Advising on Securities 2004-09-01 2006-07-29
AFV890 CHU Wai Kit, Danny 朱偉傑 RE Advising on Securities 2003-04-01 2006-09-02
AFV890 CHU Wai Kit, Danny 朱偉傑 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFV890 CHU Wai Kit, Danny 朱偉傑 RE Asset Management 2003-04-01 2005-03-24
AFW435 FENG Zhe 馮哲 RE Advising on Securities 2004-06-25 2006-06-02
AFW435 FENG Zhe 馮哲 RE Advising on Securities 2014-10-30 2017-04-12
AFW953 WEI Mei, Amy 魏薇 RE Advising on Securities 2003-04-01 2003-06-25
AFW953 WEI Mei, Amy 魏薇 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AFW953 WEI Mei, Amy 魏薇 RE Asset Management 2003-04-01 2003-06-25
AFX083 MACKINNON Charles Harold Hugh RE Dealing in Securities 2003-04-01 2003-04-10
AFX083 MACKINNON Charles Harold Hugh RE Advising on Securities 2003-04-01 2003-04-10
AFX083 MACKINNON Charles Harold Hugh RE Advising on Corporate Finance 2003-04-01 2003-04-10
AFX083 MACKINNON Charles Harold Hugh RE Asset Management 2003-04-01 2003-04-10
AFX097 CHEE Choon Wee 朱俊偉 RE Advising on Securities 2003-04-01 2003-06-25
AFX097 CHEE Choon Wee 朱俊偉 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AFX097 CHEE Choon Wee 朱俊偉 RE Asset Management 2003-04-01 2003-06-25
AFX315 CHENG Tung Ying, Ada 鄭東熒 RE Dealing in Securities 2006-10-09 2010-03-31
AFX315 CHENG Tung Ying, Ada 鄭東熒 RE Dealing in Futures Contracts 2008-06-10 2010-03-31
AFX502 CHEUNG Ka Che 張家熾 RE Advising on Securities 2003-04-01 2005-07-05
AFX502 CHEUNG Ka Che 張家熾 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AFX502 CHEUNG Ka Che 張家熾 RE Asset Management 2003-04-01 2005-02-04
AFY718 VINE Carl David RE Dealing in Securities 2004-04-26 2005-07-05
AFY718 VINE Carl David RE Dealing in Securities 2006-02-09 2008-08-08
AFY718 VINE Carl David RE Dealing in Futures Contracts 2004-04-26 2005-07-05
AFY718 VINE Carl David RE Dealing in Futures Contracts 2006-02-09 2008-08-08
AFY750 CAVATONI Joseph Roland RE Dealing in Securities 2003-10-02 2009-04-20
AFY780 LAM Sum Sum 林森森 RE Dealing in Securities 2005-07-18 2008-10-23
AFZ863 WEST Colin Thomas RO Dealing in Securities 2003-04-01 2003-06-25
AFZ863 WEST Colin Thomas RO Advising on Securities 2003-04-01 2003-06-25
AFZ863 WEST Colin Thomas RO Advising on Corporate Finance 2003-04-01 2003-06-25
AFZ863 WEST Colin Thomas RO Asset Management 2003-04-01 2003-06-25
AGA131 SHAN Wai Lun 盛煒麟 RE Advising on Securities 2005-04-12 2007-11-17
AGA146 WONG Hong Kit, Kenneth 黃匡傑 RE Advising on Securities 2003-04-01 2003-06-25
AGA146 WONG Hong Kit, Kenneth 黃匡傑 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGA146 WONG Hong Kit, Kenneth 黃匡傑 RE Asset Management 2003-04-01 2003-06-25
AGA624 HO Yaun, Stanley 何仁 RE Dealing in Securities 2003-04-01 2003-06-25
AGA624 HO Yaun, Stanley 何仁 RE Advising on Securities 2003-04-01 2003-06-25
AGA624 HO Yaun, Stanley 何仁 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGA624 HO Yaun, Stanley 何仁 RE Asset Management 2003-04-01 2003-06-25
AGB114 TSUI King, Charles 徐勁 RE Dealing in Securities 2003-04-01 2003-11-04
AGB114 TSUI King, Charles 徐勁 RE Advising on Securities 2003-04-01 2003-06-11
AGB114 TSUI King, Charles 徐勁 RE Advising on Corporate Finance 2003-04-01 2003-11-04
AGB114 TSUI King, Charles 徐勁 RE Asset Management 2003-04-01 2003-06-11
AGB206 CHAN Wing Fu 陳永富 RE Advising on Securities 2004-06-07 2004-10-15
AGC161 TEH Kihui RE Advising on Securities 2003-04-01 2003-06-25
AGC161 TEH Kihui RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGC161 TEH Kihui RE Asset Management 2003-04-01 2003-06-25
AGC164 AW Soon Beng, Michael 胡順炳 RE Advising on Securities 2003-04-01 2003-06-25
AGC164 AW Soon Beng, Michael 胡順炳 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGC164 AW Soon Beng, Michael 胡順炳 RE Asset Management 2003-04-01 2003-06-25
AGC687 WONG Steven Siu Kee 黃紹基 RE Advising on Securities 2003-04-01 2003-06-25
AGC687 WONG Steven Siu Kee 黃紹基 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGC687 WONG Steven Siu Kee 黃紹基 RE Asset Management 2003-04-01 2003-06-25
AGC972 ZHAO Xiao Le 趙曉樂 RE Dealing in Securities 2004-07-02 2004-10-28
AGD246 ZHANG Ning 張宁 RE Dealing in Securities 2003-04-01 2004-03-11
AGD246 ZHANG Ning 張宁 RE Dealing in Futures Contracts 2003-06-03 2004-03-11
AGD246 ZHANG Ning 張宁 RE Advising on Securities 2003-04-01 2003-05-13
AGD246 ZHANG Ning 張宁 RE Advising on Corporate Finance 2003-04-01 2003-05-13
AGD246 ZHANG Ning 張宁 RE Asset Management 2003-04-01 2003-05-13
AGE022 CHONG Kian Shing 張建成 RE Advising on Securities 2003-04-01 2003-06-25
AGE022 CHONG Kian Shing 張建成 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGE022 CHONG Kian Shing 張建成 RE Asset Management 2003-04-01 2003-06-25
AGE025 FOK King Man, Ronald 霍敬文 RE Dealing in Securities 2003-04-01 2018-05-04
AGE025 FOK King Man, Ronald 霍敬文 RE Dealing in Futures Contracts 2003-04-01 2018-05-04
AGE025 FOK King Man, Ronald 霍敬文 RE Advising on Securities 2003-04-01 2005-03-24
AGE025 FOK King Man, Ronald 霍敬文 RE Advising on Futures Contracts 2003-04-01 2005-02-04
AGE025 FOK King Man, Ronald 霍敬文 RE Advising on Corporate Finance 2003-04-01 2005-02-04
AGE025 FOK King Man, Ronald 霍敬文 RE Asset Management 2003-04-01 2005-02-04
AGE826 JIANG Shan 姜山 RE Advising on Securities 2003-04-01 2003-06-25
AGE826 JIANG Shan 姜山 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGE826 JIANG Shan 姜山 RE Asset Management 2003-04-01 2003-06-25
AGF367 LEUNG Yuk Lun, Derek 梁旭麟 RE Advising on Securities 2003-04-01 2003-06-25
AGF367 LEUNG Yuk Lun, Derek 梁旭麟 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGF367 LEUNG Yuk Lun, Derek 梁旭麟 RE Asset Management 2003-04-01 2003-06-25
AGF416 PNG Chin Yee RE Advising on Securities 2003-04-01 2003-06-25
AGF416 PNG Chin Yee RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGF416 PNG Chin Yee RE Asset Management 2003-04-01 2003-06-25
AGF487 STUTSMAN Andrea Jean RE Dealing in Securities 2003-04-01 2006-05-01
AGF487 STUTSMAN Andrea Jean RE Advising on Securities 2003-04-01 2005-03-24
AGF487 STUTSMAN Andrea Jean RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGF487 STUTSMAN Andrea Jean RE Asset Management 2003-04-01 2005-03-24
AGG744 LI Chun Kit 李俊杰 RE Dealing in Securities 2011-02-17 2014-05-20
AGH264 HILL Trevor Aaron RE Dealing in Securities 2007-03-06 2013-12-21
AGH930 BROWN Marcus William Ross RE Dealing in Securities 2003-04-01 2003-06-25
AGH930 BROWN Marcus William Ross RE Advising on Securities 2003-04-01 2003-06-25
AGH930 BROWN Marcus William Ross RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGH930 BROWN Marcus William Ross RE Asset Management 2003-04-01 2003-06-25
AGI097 ROBERTSON Simon Montague RE Dealing in Securities 2003-04-01 2010-04-09
AGI097 ROBERTSON Simon Montague RE Dealing in Securities 2010-05-05 2013-03-23
AGI097 ROBERTSON Simon Montague RE Dealing in Futures Contracts 2008-06-05 2010-04-09
AGI097 ROBERTSON Simon Montague RE Dealing in Futures Contracts 2010-05-05 2013-03-23
AGI097 ROBERTSON Simon Montague RE Advising on Securities 2003-04-01 2005-03-24
AGI097 ROBERTSON Simon Montague RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGI097 ROBERTSON Simon Montague RE Asset Management 2003-04-01 2005-02-04
AGI503 LUK Terence 陸凱賢 RE Dealing in Securities 2003-04-01 2006-01-28
AGI503 LUK Terence 陸凱賢 RE Dealing in Futures Contracts 2005-10-25 2006-01-28
AGI503 LUK Terence 陸凱賢 RE Advising on Securities 2003-04-01 2005-03-24
AGI503 LUK Terence 陸凱賢 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGI503 LUK Terence 陸凱賢 RE Asset Management 2003-04-01 2005-03-24
AGI779 YU Kok Leung 余國良 RE Advising on Securities 2003-04-01 2006-03-12
AGI779 YU Kok Leung 余國良 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGI779 YU Kok Leung 余國良 RE Asset Management 2003-04-01 2005-03-24
AGJ433 WILLIAMS Mark Fraser RE Dealing in Securities 2003-04-01 2003-06-25
AGJ433 WILLIAMS Mark Fraser RE Advising on Securities 2003-04-01 2003-06-25
AGJ433 WILLIAMS Mark Fraser RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGJ433 WILLIAMS Mark Fraser RE Asset Management 2003-04-01 2003-06-25
AGJ645 KANG Minja Evelyn RE Advising on Securities 2003-04-01 2004-02-02
AGJ645 KANG Minja Evelyn RE Advising on Corporate Finance 2003-04-01 2004-02-02
AGJ645 KANG Minja Evelyn RE Asset Management 2003-04-01 2004-02-02
AGJ984 LEPPER David Anthony RE Advising on Securities 2003-04-01 2008-07-16
AGJ984 LEPPER David Anthony RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGJ984 LEPPER David Anthony RE Asset Management 2003-04-01 2005-03-24
AGK798 CHU Pierre Wang Chung 朱宏中 RE Advising on Securities 2003-04-01 2003-06-25
AGK798 CHU Pierre Wang Chung 朱宏中 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGK798 CHU Pierre Wang Chung 朱宏中 RE Asset Management 2003-04-01 2003-06-25
AGK799 KWIK Claudia Hwee Kim RE Dealing in Securities 2008-04-14 2010-05-05
AGK799 KWIK Claudia Hwee Kim RE Advising on Securities 2003-04-01 2003-06-25
AGK799 KWIK Claudia Hwee Kim RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGK799 KWIK Claudia Hwee Kim RE Asset Management 2003-04-01 2003-06-25
AGL441 WONG Chieh Lu, Jenny 王潔如 RE Advising on Securities 2003-04-01 2006-06-17
AGL441 WONG Chieh Lu, Jenny 王潔如 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGL441 WONG Chieh Lu, Jenny 王潔如 RE Asset Management 2003-04-01 2005-03-24
AGL936 LU Edmund Lingjian 盧淩堅 RE Advising on Securities 2003-04-01 2005-03-29
AGL936 LU Edmund Lingjian 盧淩堅 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGL936 LU Edmund Lingjian 盧淩堅 RE Asset Management 2003-04-01 2005-03-24
AGL937 SMITH Michael Thomas RE Advising on Securities 2003-04-01 2003-06-25
AGL937 SMITH Michael Thomas RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGL937 SMITH Michael Thomas RE Asset Management 2003-04-01 2003-06-25
AGN521 SIM Colin Ching Wern RE Dealing in Securities 2003-04-01 2007-06-14
AGN521 SIM Colin Ching Wern RE Dealing in Securities 2010-05-14 2017-03-18
AGN521 SIM Colin Ching Wern RE Dealing in Futures Contracts 2010-05-14 2017-03-18
AGN521 SIM Colin Ching Wern RE Advising on Securities 2003-04-01 2005-03-24
AGN521 SIM Colin Ching Wern RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGN521 SIM Colin Ching Wern RE Asset Management 2003-04-01 2005-03-24
AGN596 LAM Mo Yee 林慕怡 RE Advising on Securities 2003-04-01 2003-06-25
AGN596 LAM Mo Yee 林慕怡 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGN596 LAM Mo Yee 林慕怡 RE Asset Management 2003-04-01 2003-06-25
AGN747 WU James Yun RE Dealing in Securities 2003-04-01 2009-05-13
AGN747 WU James Yun RE Advising on Securities 2003-04-01 2005-03-24
AGN747 WU James Yun RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGN747 WU James Yun RE Asset Management 2003-04-01 2005-03-24
AGN915 WERKUN Erica Poon 潘嘉怡 RE Advising on Securities 2004-08-12
AGO206 PFATTEICHER Peter Alexander RE Advising on Securities 2003-04-01 2003-05-02
AGO206 PFATTEICHER Peter Alexander RE Advising on Corporate Finance 2003-04-01 2003-05-02
AGO206 PFATTEICHER Peter Alexander RE Asset Management 2003-04-01 2003-05-02
AGP130 TANG Zhigang 唐志剛 RE Advising on Securities 2009-04-14 2012-02-07
AGP540 LEE Gene Jin-won RE Advising on Securities 2003-04-01 2003-06-25
AGP540 LEE Gene Jin-won RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGP540 LEE Gene Jin-won RE Asset Management 2003-04-01 2003-06-25
AGP545 SINCLAIR Andrew Mark RE Dealing in Securities 2003-04-01 2004-04-18
AGP545 SINCLAIR Andrew Mark RE Advising on Securities 2003-04-01 2004-04-18
AGP545 SINCLAIR Andrew Mark RE Advising on Corporate Finance 2003-04-01 2004-04-18
AGP545 SINCLAIR Andrew Mark RE Asset Management 2003-04-01 2004-04-18
AGP551 TAN Nicholas Chye Seng RE Advising on Securities 2003-04-01 2004-05-31
AGP551 TAN Nicholas Chye Seng RE Advising on Corporate Finance 2003-04-01 2004-05-31
AGP551 TAN Nicholas Chye Seng RE Asset Management 2003-04-01 2004-05-31
AGP627 LI Anita Oi Yan 李靄欣 RE Dealing in Securities 2008-08-20 2016-03-16
AGP627 LI Anita Oi Yan 李靄欣 RE Dealing in Futures Contracts 2008-08-20 2016-03-16
AGP733 WANG Jinjin 王進璡 RE Advising on Securities 2005-07-04 2018-06-26
AGS454 WADLE John Allen RE Advising on Securities 2003-04-01 2009-04-07
AGS454 WADLE John Allen RE Advising on Corporate Finance 2003-04-01 2005-03-24
AGS454 WADLE John Allen RE Asset Management 2003-04-01 2005-03-24
AGS546 VOLET Raphael RE Advising on Securities 2003-04-01 2004-04-02
AGS546 VOLET Raphael RE Advising on Corporate Finance 2003-04-01 2004-04-02
AGS546 VOLET Raphael RE Asset Management 2003-04-01 2004-04-02
AGS861 OGAWA Masaki RE Dealing in Securities 2009-07-15 2014-04-22
AGS861 OGAWA Masaki RE Dealing in Futures Contracts 2009-07-15 2014-04-22
AGT131 BOLAND Frank Joseph RE Advising on Securities 2003-04-01 2003-04-23
AGT131 BOLAND Frank Joseph RE Advising on Corporate Finance 2003-04-01 2003-04-23
AGT131 BOLAND Frank Joseph RE Asset Management 2003-04-01 2003-04-23
AGV233 YOON Benjamin Hyung RE Advising on Securities 2003-04-01 2003-04-16
AGV233 YOON Benjamin Hyung RE Advising on Corporate Finance 2003-04-01 2003-04-16
AGV233 YOON Benjamin Hyung RE Asset Management 2003-04-01 2003-04-16
AGW059 WAN Ming Sun 尹明山 RE Dealing in Securities 2003-04-01 2004-02-26
AGW059 WAN Ming Sun 尹明山 RE Advising on Securities 2003-04-01 2004-02-26
AGW059 WAN Ming Sun 尹明山 RE Advising on Corporate Finance 2003-04-01 2004-02-26
AGW059 WAN Ming Sun 尹明山 RE Asset Management 2003-04-01 2004-02-26
AGW280 ANDERSON Jonathan Gentile RE Advising on Securities 2003-05-30 2012-03-08
AGW609 JANG Young Woo RE Advising on Securities 2006-01-19 2016-05-06
AGW609 JANG Young Woo RE Advising on Securities 2016-09-23 2016-09-30
AGW609 JANG Young Woo RE Advising on Securities 2017-02-17 2017-02-25
AGX021 EASTERBROOK Trevor Stephen RE Dealing in Securities 2003-04-01 2004-02-23
AGX021 EASTERBROOK Trevor Stephen RE Dealing in Futures Contracts 2003-04-01 2004-02-23
AGX021 EASTERBROOK Trevor Stephen RE Advising on Securities 2003-04-01 2004-02-23
AGX021 EASTERBROOK Trevor Stephen RE Advising on Futures Contracts 2003-04-01 2004-02-23
AGX021 EASTERBROOK Trevor Stephen RE Advising on Corporate Finance 2003-04-01 2004-02-23
AGX021 EASTERBROOK Trevor Stephen RE Asset Management 2003-04-01 2004-02-23
AGX022 LEE Chris C RE Dealing in Securities 2003-04-01 2003-07-29
AGX022 LEE Chris C RE Advising on Securities 2003-04-01 2003-07-29
AGX022 LEE Chris C RE Advising on Corporate Finance 2003-04-01 2003-07-29
AGX022 LEE Chris C RE Asset Management 2003-04-01 2003-07-29
AGX674 KUO Yi-Chih 郭益智 RE Dealing in Securities 2010-07-30
AGX678 GU Huaiyu 谷懷雨 RE Advising on Securities 2003-04-01 2003-06-25
AGX678 GU Huaiyu 谷懷雨 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AGX678 GU Huaiyu 谷懷雨 RE Asset Management 2003-04-01 2003-06-25
AGY598 KELLY Scott Adam RE Advising on Securities 2009-06-15 2010-05-21
AGZ998 GUPTA Rahul RE Advising on Securities 2006-05-25 2007-06-15
AHA361 LEE Chun Kit, Simon 李俊傑 RE Dealing in Securities 2003-04-01 2009-04-22
AHA361 LEE Chun Kit, Simon 李俊傑 RE Dealing in Futures Contracts 2003-04-01 2009-04-22
AHA361 LEE Chun Kit, Simon 李俊傑 RE Advising on Securities 2003-04-01 2005-03-24
AHA361 LEE Chun Kit, Simon 李俊傑 RE Advising on Futures Contracts 2003-04-01 2005-02-04
AHA361 LEE Chun Kit, Simon 李俊傑 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHA361 LEE Chun Kit, Simon 李俊傑 RE Asset Management 2003-04-01 2005-03-24
AHA363 RANKIN Robert John RE Advising on Securities 2003-04-01 2003-06-25
AHA363 RANKIN Robert John RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHA363 RANKIN Robert John RE Asset Management 2003-04-01 2003-06-25
AHA547 SHIEH Ingrid RE Dealing in Securities 2003-04-01 2004-04-29
AHA547 SHIEH Ingrid RE Advising on Securities 2003-04-01 2004-04-29
AHA547 SHIEH Ingrid RE Advising on Corporate Finance 2003-04-01 2004-04-29
AHA547 SHIEH Ingrid RE Asset Management 2003-04-01 2004-04-29
AHA548 PECOT III Charles Matthew RE Dealing in Securities 2003-04-01 2005-04-27
AHA548 PECOT III Charles Matthew RO Dealing in Securities 2005-04-27 2007-03-06
AHA548 PECOT III Charles Matthew RE Advising on Securities 2003-04-01 2005-03-24
AHA548 PECOT III Charles Matthew RE Advising on Corporate Finance 2003-04-01 2005-02-04
AHA548 PECOT III Charles Matthew RE Asset Management 2003-04-01 2005-02-04
AHA554 HO Tat Shing 何達成 RE Dealing in Securities 2003-04-01 2003-08-21
AHA554 HO Tat Shing 何達成 RE Dealing in Futures Contracts 2003-06-11 2003-08-21
AHA554 HO Tat Shing 何達成 RE Advising on Securities 2003-04-01 2003-05-12
AHA554 HO Tat Shing 何達成 RE Advising on Corporate Finance 2003-04-01 2003-05-12
AHA554 HO Tat Shing 何達成 RE Asset Management 2003-04-01 2003-05-12
AHA555 CHIN Sara Taechung RE Advising on Securities 2003-04-01 2003-06-25
AHA555 CHIN Sara Taechung RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHA555 CHIN Sara Taechung RE Asset Management 2003-04-01 2003-06-25
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RE Dealing in Securities 2004-02-16 2017-12-19
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RO Dealing in Securities 2017-12-19
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RE Dealing in Futures Contracts 2008-06-05 2017-12-19
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RO Dealing in Futures Contracts 2017-12-19
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RE Advising on Securities 2003-04-01 2003-06-25
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHA800 CHAN Raymond Yiu Yue 陳耀宇 RE Asset Management 2003-04-01 2003-06-25
AHB509 GASTREICH Peter Friedrich RE Advising on Securities 2006-04-26
AHC003 QIU Ruofei 邱若非 RE Advising on Securities 2003-04-01 2003-06-25
AHC003 QIU Ruofei 邱若非 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHC003 QIU Ruofei 邱若非 RE Asset Management 2003-04-01 2003-06-25
AHC015 COMBALOT Laurent Benoit Georges RE Dealing in Securities 2003-04-01 2009-05-06
AHC015 COMBALOT Laurent Benoit Georges RO Dealing in Securities 2009-05-06
AHC015 COMBALOT Laurent Benoit Georges RE Dealing in Futures Contracts 2003-04-01 2009-05-06
AHC015 COMBALOT Laurent Benoit Georges RO Dealing in Futures Contracts 2009-05-06
AHC015 COMBALOT Laurent Benoit Georges RE Advising on Securities 2003-04-01 2005-03-24
AHC015 COMBALOT Laurent Benoit Georges RE Advising on Futures Contracts 2003-04-01 2005-02-04
AHC015 COMBALOT Laurent Benoit Georges RE Advising on Corporate Finance 2003-04-01 2005-02-04
AHC015 COMBALOT Laurent Benoit Georges RE Asset Management 2003-04-01 2005-02-04
AHC183 ROTH Gunther James RE Advising on Securities 2003-04-01 2003-06-25
AHC183 ROTH Gunther James RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHC183 ROTH Gunther James RE Asset Management 2003-04-01 2003-06-25
AHC210 THOMAS Rebecca Judith RE Dealing in Securities 2003-04-01 2004-05-13
AHC210 THOMAS Rebecca Judith RE Dealing in Securities 2008-12-19 2016-07-28
AHC210 THOMAS Rebecca Judith RE Advising on Securities 2003-04-01 2004-05-13
AHC210 THOMAS Rebecca Judith RE Advising on Corporate Finance 2003-04-01 2004-05-13
AHC210 THOMAS Rebecca Judith RE Asset Management 2003-04-01 2004-05-13
AHC211 RAMANATHAN Badrinath RE Advising on Securities 2003-04-01 2003-06-25
AHC211 RAMANATHAN Badrinath RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHC211 RAMANATHAN Badrinath RE Asset Management 2003-04-01 2003-06-25
AHC328 BRADSHAW John RE Dealing in Securities 2003-04-01 2012-03-29
AHC328 BRADSHAW John RE Dealing in Futures Contracts 2003-04-01 2012-03-29
AHC328 BRADSHAW John RE Advising on Securities 2003-04-01 2005-03-24
AHC328 BRADSHAW John RE Advising on Futures Contracts 2003-04-01 2005-02-04
AHC328 BRADSHAW John RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHC328 BRADSHAW John RE Asset Management 2003-04-01 2005-02-04
AHD514 WAN Li 萬里 RE Dealing in Securities 2003-04-01 2004-03-08
AHD514 WAN Li 萬里 RE Dealing in Securities 2005-04-12 2008-04-12
AHD514 WAN Li 萬里 RE Advising on Securities 2003-04-01 2004-03-08
AHD514 WAN Li 萬里 RE Advising on Corporate Finance 2003-04-01 2004-03-08
AHD514 WAN Li 萬里 RE Asset Management 2003-04-01 2004-03-08
AHD643 ZHU Wenqian 朱文倩 RE Advising on Securities 2003-04-01 2003-06-25
AHD643 ZHU Wenqian 朱文倩 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHD643 ZHU Wenqian 朱文倩 RE Asset Management 2003-04-01 2003-06-25
AHD912 OLLERENSHAW Simon Gerald RE Dealing in Securities 2003-04-01 2003-06-25
AHD912 OLLERENSHAW Simon Gerald RE Advising on Securities 2003-04-01 2003-06-25
AHD912 OLLERENSHAW Simon Gerald RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHD912 OLLERENSHAW Simon Gerald RE Asset Management 2003-04-01 2003-06-25
AHD966 CHEN Xiao 陳霄 RE Advising on Securities 2003-04-01 2003-06-25
AHD966 CHEN Xiao 陳霄 RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHD966 CHEN Xiao 陳霄 RE Asset Management 2003-04-01 2003-06-25
AHF255 MUKHOPADHYAY Ajinkya RE Advising on Securities 2003-04-01 2003-06-25
AHF255 MUKHOPADHYAY Ajinkya RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHF255 MUKHOPADHYAY Ajinkya RE Asset Management 2003-04-01 2003-06-25
AHF855 KANDIAH Sutharshan RE Advising on Securities 2003-04-01 2003-06-25
AHF855 KANDIAH Sutharshan RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHF855 KANDIAH Sutharshan RE Asset Management 2003-04-01 2003-06-25
AHG719 NORRIS Richard RE Dealing in Securities 2003-04-01 2004-05-18
AHG719 NORRIS Richard RE Advising on Securities 2003-04-01 2004-05-18
AHG719 NORRIS Richard RE Advising on Corporate Finance 2003-04-01 2004-05-18
AHG719 NORRIS Richard RE Asset Management 2003-04-01 2004-05-18
AHI791 BENIWAL Saurabh RE Advising on Securities 2003-04-01 2003-06-25
AHI791 BENIWAL Saurabh RE Advising on Corporate Finance 2003-04-01 2003-06-25
AHI791 BENIWAL Saurabh RE Asset Management 2003-04-01 2003-06-25
AHJ471 CHEUNG Ronald Yat Sau 張逸修 RE Dealing in Securities 2003-04-01 2016-07-19
AHJ471 CHEUNG Ronald Yat Sau 張逸修 RE Dealing in Futures Contracts 2008-06-05 2016-07-19
AHJ471 CHEUNG Ronald Yat Sau 張逸修 RE Advising on Securities 2003-04-01 2005-03-24
AHJ471 CHEUNG Ronald Yat Sau 張逸修 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHJ471 CHEUNG Ronald Yat Sau 張逸修 RE Asset Management 2003-04-01 2005-02-04
AHK048 WEE Liang Sin RE Dealing in Securities 2003-04-01 2003-05-30
AHK048 WEE Liang Sin RE Advising on Securities 2003-04-01 2003-05-30
AHK048 WEE Liang Sin RE Advising on Corporate Finance 2003-04-01 2003-05-30
AHK048 WEE Liang Sin RE Asset Management 2003-04-01 2003-05-30
AHK081 FAURE Olivier Pierre RE Dealing in Securities 2011-05-11 2013-01-25
AHK081 FAURE Olivier Pierre RE Dealing in Futures Contracts 2011-07-06 2013-01-25
AHK486 LO Ted Shu-Chung RE Dealing in Securities 2009-08-20 2014-04-12
AHK660 YUNG Tak Man 翁德敏 RE Dealing in Securities 2003-04-01 2014-06-10
AHK660 YUNG Tak Man 翁德敏 RE Advising on Securities 2003-04-01 2005-03-24
AHK660 YUNG Tak Man 翁德敏 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHK660 YUNG Tak Man 翁德敏 RE Asset Management 2003-04-01 2005-03-24
AHK661 CHEE Yuen Leng 朱宛玲 RE Advising on Securities 2003-04-01 2004-02-01
AHK661 CHEE Yuen Leng 朱宛玲 RE Advising on Corporate Finance 2003-04-01 2004-02-01
AHK661 CHEE Yuen Leng 朱宛玲 RE Asset Management 2003-04-01 2004-02-01
AHK662 ZLOT Andrew Edward RE Dealing in Securities 2004-05-20 2006-08-11
AHK662 ZLOT Andrew Edward RE Advising on Securities 2006-08-14 2007-03-12
AHL492 WONG Ka Yau 黃嘉佑 RE Advising on Securities 2006-12-05 2007-05-16
AHL612 MIZOGUCHI Hironori RE Dealing in Securities 2003-04-01 2004-03-12
AHL612 MIZOGUCHI Hironori RE Advising on Securities 2003-04-01 2004-03-12
AHL612 MIZOGUCHI Hironori RE Advising on Corporate Finance 2003-04-01 2004-03-12
AHL612 MIZOGUCHI Hironori RE Asset Management 2003-04-01 2004-03-12
AHM834 CIN Chang Sik RE Dealing in Securities 2003-04-01
AHM834 CIN Chang Sik RE Advising on Securities 2003-04-01 2005-03-24
AHM834 CIN Chang Sik RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHM834 CIN Chang Sik RE Asset Management 2003-04-01 2005-03-24
AHN694 LEE Hyun-Jae 李賢宰 RE Dealing in Securities 2003-04-01 2007-04-19
AHN694 LEE Hyun-Jae 李賢宰 RE Dealing in Securities 2010-09-27 2016-06-11
AHN694 LEE Hyun-Jae 李賢宰 RE Dealing in Futures Contracts 2003-04-01 2007-04-19
AHN694 LEE Hyun-Jae 李賢宰 RE Dealing in Futures Contracts 2010-09-27 2016-06-11
AHN694 LEE Hyun-Jae 李賢宰 RE Advising on Securities 2003-04-01 2005-03-24
AHN694 LEE Hyun-Jae 李賢宰 RE Advising on Futures Contracts 2003-04-01 2005-02-04
AHN694 LEE Hyun-Jae 李賢宰 RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHN694 LEE Hyun-Jae 李賢宰 RE Asset Management 2003-04-01 2005-03-24
AHN695 SOHN Bill Eun-seok RE Advising on Securities 2003-04-01 2007-01-23
AHN695 SOHN Bill Eun-seok RO Advising on Securities 2007-01-23 2011-09-01
AHN695 SOHN Bill Eun-seok RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHN695 SOHN Bill Eun-seok RE Asset Management 2003-04-01 2005-03-24
AHP526 WHEELER Daniel Raymond RE Dealing in Securities 2007-05-29 2007-06-23
AHP526 WHEELER Daniel Raymond RE Dealing in Securities 2011-02-01 2012-10-25
AHP526 WHEELER Daniel Raymond RE Dealing in Futures Contracts 2007-05-29 2007-06-23
AHP526 WHEELER Daniel Raymond RE Dealing in Futures Contracts 2011-02-01 2012-10-25
AHQ348 HOSIE Neil Cameron RE Dealing in Securities 2003-04-01 2004-05-28
AHQ348 HOSIE Neil Cameron RE Dealing in Futures Contracts 2003-04-01 2004-05-28
AHQ348 HOSIE Neil Cameron RE Advising on Securities 2003-04-01 2004-05-28
AHQ348 HOSIE Neil Cameron RE Advising on Futures Contracts 2003-04-01 2004-05-28
AHQ348 HOSIE Neil Cameron RE Advising on Corporate Finance 2003-04-01 2004-05-28
AHQ348 HOSIE Neil Cameron RE Asset Management 2003-04-01 2004-05-28
AHR004 HUNT Christopher James Andrews RE Dealing in Securities 2003-04-01 2011-07-27
AHR004 HUNT Christopher James Andrews RO Dealing in Securities 2011-07-27
AHR004 HUNT Christopher James Andrews RE Dealing in Futures Contracts 2008-06-05 2016-06-23
AHR004 HUNT Christopher James Andrews RO Dealing in Futures Contracts 2016-06-23
AHR004 HUNT Christopher James Andrews RE Advising on Securities 2003-04-01 2005-03-24
AHR004 HUNT Christopher James Andrews RE Advising on Corporate Finance 2003-04-01 2005-03-24
AHR004 HUNT Christopher James Andrews RE Asset Management 2003-04-01 2005-03-24
AHR011 HENLEY Robert Alexander RE Dealing in Securities 2003-04-01 2006-04-01
AHR011 HENLEY Robert Alexander RE Dealing in Futures Contracts 2005-01-21 2006-04-01

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