Hong Kong SFC licence institution AAW075, Daiwa Securities SMBC (Asia) Limited 大和証券盛民博昌(亞洲)有限公司

These are the licence-holders that were found for SFC licence institution AAW075 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
AAD089 ONOUE Tsutomu RO Dealing in Securities 2004-03-24 2005-04-22
AAE161 TONG Wai Lun 唐偉麟 RE Dealing in Securities 2003-04-01 2005-02-07
AAE161 TONG Wai Lun 唐偉麟 RE Advising on Securities 2003-04-01 2005-02-07
AAE161 TONG Wai Lun 唐偉麟 RE Advising on Corporate Finance 2003-04-01 2005-02-07
AAE161 TONG Wai Lun 唐偉麟 RE Asset Management 2003-04-01 2005-02-07
AAG207 NG Kwok Shing, Peter 伍國成 RE Dealing in Securities 2003-04-01 2005-02-07
AAG207 NG Kwok Shing, Peter 伍國成 RE Advising on Securities 2003-04-01 2005-02-07
AAG207 NG Kwok Shing, Peter 伍國成 RE Advising on Corporate Finance 2003-04-01 2005-02-07
AAG207 NG Kwok Shing, Peter 伍國成 RE Asset Management 2003-04-01 2005-02-07
ABQ708 FAN Kwong Hung, Ernest 范廣鴻 RE Dealing in Securities 2004-01-13 2004-02-09
ADL712 MATSUSHITA Noriko RE Dealing in Securities 2003-04-01 2005-02-07
ADL712 MATSUSHITA Noriko RE Advising on Securities 2003-04-01 2005-02-07
ADL712 MATSUSHITA Noriko RE Advising on Corporate Finance 2003-04-01 2005-02-07
ADL712 MATSUSHITA Noriko RE Asset Management 2003-04-01 2005-02-07
ADM811 KANG Kyong Pil 康景弼 RE Dealing in Securities 2003-04-01 2005-02-07
ADM811 KANG Kyong Pil 康景弼 RE Advising on Securities 2003-04-01 2005-02-07
ADM811 KANG Kyong Pil 康景弼 RE Advising on Corporate Finance 2003-04-01 2005-02-07
ADM811 KANG Kyong Pil 康景弼 RE Asset Management 2003-04-01 2005-02-07
ADP243 MIZUNO Kosuke RE Dealing in Securities 2003-04-01 2005-02-07
ADP243 MIZUNO Kosuke RE Advising on Securities 2003-04-01 2005-02-07
ADP243 MIZUNO Kosuke RE Advising on Corporate Finance 2003-04-01 2005-02-07
ADP243 MIZUNO Kosuke RE Asset Management 2003-04-01 2005-02-07
ADU225 HUNG Lum, Leon 洪霖 RE Dealing in Securities 2004-03-30 2005-06-09
AEN383 MIZUNO Masashi RO Dealing in Securities 2003-04-01 2004-05-24
AFK428 LEUNG Chun Yue 梁振宇 RE Dealing in Securities 2003-04-01 2004-11-25
AFK428 LEUNG Chun Yue 梁振宇 RE Advising on Securities 2003-04-01 2004-11-25
AFK428 LEUNG Chun Yue 梁振宇 RE Advising on Corporate Finance 2003-04-01 2004-11-25
AFK428 LEUNG Chun Yue 梁振宇 RE Asset Management 2003-04-01 2004-11-25
AFR780 TAM Tak Wing 譚德榮 RE Dealing in Securities 2003-04-01 2003-08-16
AFR780 TAM Tak Wing 譚德榮 RE Advising on Securities 2003-04-01 2003-08-16
AFR780 TAM Tak Wing 譚德榮 RE Advising on Corporate Finance 2003-04-01 2003-08-16
AFR780 TAM Tak Wing 譚德榮 RE Asset Management 2003-04-01 2003-08-16
AFU687 TO Tsz Wai 杜子偉 RE Dealing in Securities 2003-04-01 2005-02-07
AFU687 TO Tsz Wai 杜子偉 RE Advising on Securities 2003-04-01 2005-02-07
AFU687 TO Tsz Wai 杜子偉 RE Advising on Corporate Finance 2003-04-01 2005-02-07
AFU687 TO Tsz Wai 杜子偉 RE Asset Management 2003-04-01 2005-02-07
AGC833 YOKOTA Fumiko 橫田文子 RE Dealing in Securities 2003-04-01 2003-08-06
AGC833 YOKOTA Fumiko 橫田文子 RE Advising on Securities 2003-04-01 2003-08-06
AGC833 YOKOTA Fumiko 橫田文子 RE Advising on Corporate Finance 2003-04-01 2003-08-06
AGC833 YOKOTA Fumiko 橫田文子 RE Asset Management 2003-04-01 2003-08-06
AGJ778 OHIRA Yuko RE Dealing in Securities 2003-04-01 2005-02-07
AGJ778 OHIRA Yuko RE Advising on Securities 2003-04-01 2005-02-07
AGJ778 OHIRA Yuko RE Advising on Corporate Finance 2003-04-01 2005-02-07
AGJ778 OHIRA Yuko RE Asset Management 2003-04-01 2005-02-07
AGO346 CHEUNG Kwok Wah 張國華 RE Dealing in Securities 2003-04-01 2005-02-07
AGO346 CHEUNG Kwok Wah 張國華 RE Advising on Securities 2003-04-01 2005-02-07
AGO346 CHEUNG Kwok Wah 張國華 RE Advising on Corporate Finance 2003-04-01 2005-02-07
AGO346 CHEUNG Kwok Wah 張國華 RE Asset Management 2003-04-01 2005-02-07
AHU523 MATSUMOTO Satoshi RO Dealing in Securities 2003-04-01 2005-06-09
AHU523 MATSUMOTO Satoshi RO Advising on Securities 2003-04-01 2004-03-22
AHU523 MATSUMOTO Satoshi RO Advising on Corporate Finance 2003-04-01 2004-03-22

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