These are the licence-holders that were found for SFC licence institution AAW438 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 |
|---|---|---|---|---|---|---|
| AAA823 | HUI Yee Kwong | 許沂光 | RO | Dealing in Futures Contracts | 2003-04-01 | 2009-08-01 |
| AAA823 | HUI Yee Kwong | 許沂光 | RO | Advising on Futures Contracts | 2003-04-01 | 2003-10-30 |
| AAA823 | HUI Yee Kwong | 許沂光 | RO | Asset Management | 2003-04-01 | 2003-10-30 |
| AAA927 | SHUM Yiu Wah | 岑耀華 | RE | Dealing in Futures Contracts | 2003-04-01 | 2004-02-18 |
| AAA927 | SHUM Yiu Wah | 岑耀華 | RE | Advising on Futures Contracts | 2003-04-01 | 2003-08-12 |
| AAA927 | SHUM Yiu Wah | 岑耀華 | RE | Asset Management | 2003-04-01 | 2003-08-12 |
| ABI118 | WONG Yuet Ping | 黃悅平 | RO | Dealing in Futures Contracts | 2003-04-01 | 2004-01-31 |
| ABQ771 | CHING Yim Har | 程焰霞 | RE | Dealing in Futures Contracts | 2003-04-01 | 2004-01-17 |
| ABQ771 | CHING Yim Har | 程焰霞 | RE | Advising on Futures Contracts | 2003-04-01 | 2003-10-03 |
| ABQ771 | CHING Yim Har | 程焰霞 | RE | Asset Management | 2003-04-01 | 2003-10-03 |
| ACA948 | LIM Chi Yeung, Richard | 林志揚 | RO | Dealing in Futures Contracts | 2003-04-01 | 2005-01-19 |
| ACA948 | LIM Chi Yeung, Richard | 林志揚 | RO | Advising on Futures Contracts | 2003-04-01 | 2003-09-22 |
| ACA948 | LIM Chi Yeung, Richard | 林志揚 | RO | Asset Management | 2003-04-01 | 2003-09-22 |
| ACD153 | HO Kam Por, Simon | 何鑑波 | RO | Dealing in Futures Contracts | 2003-04-01 | 2004-07-02 |
| ACD153 | HO Kam Por, Simon | 何鑑波 | RO | Advising on Futures Contracts | 2003-04-01 | 2003-09-22 |
| ACD153 | HO Kam Por, Simon | 何鑑波 | RO | Asset Management | 2003-04-01 | 2003-09-22 |
| ACL567 | KWOK Kai Wai | 郝繼偉 | RE | Dealing in Futures Contracts | 2017-08-24 | 2017-10-01 |
| ACQ237 | YUNG Hung Wa | 翁鴻華 | RE | Dealing in Futures Contracts | 2003-04-01 | 2003-11-26 |
| ACQ237 | YUNG Hung Wa | 翁鴻華 | RE | Advising on Futures Contracts | 2003-04-01 | 2003-08-11 |
| ACQ237 | YUNG Hung Wa | 翁鴻華 | RE | Asset Management | 2003-04-01 | 2003-08-11 |
| ADA891 | CHANG Kwok Fai | 鄭國輝 | RE | Dealing in Futures Contracts | 2011-08-12 | 2012-03-21 |
| ADA891 | CHANG Kwok Fai | 鄭國輝 | RO | Dealing in Futures Contracts | 2012-03-21 | 2012-11-23 |
| ADA891 | CHANG Kwok Fai | 鄭國輝 | RO | Asset Management | 2012-05-15 | 2012-11-23 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Dealing in Futures Contracts | 2016-02-18 | 2016-10-19 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Asset Management | 2015-10-27 | 2016-02-18 |
| ADQ592 | WONG Foelan | 黃富仁 | RO | Asset Management | 2016-02-18 | 2016-04-29 |
| AED718 | SUM Poon Yun, Johnny | 岑本訢 | RE | Dealing in Futures Contracts | 2016-11-14 | 2017-03-12 |
| AEN676 | CHAN Yee Man | 陳依雯 | RE | Dealing in Futures Contracts | 2003-04-01 | 2010-08-10 |
| AEN676 | CHAN Yee Man | 陳依雯 | RE | Advising on Futures Contracts | 2003-04-01 | 2003-08-11 |
| AEN676 | CHAN Yee Man | 陳依雯 | RE | Asset Management | 2003-04-01 | 2003-08-11 |
| AEQ988 | NG Jun Hing, Raymond | 吳駿興 | RE | Dealing in Futures Contracts | 2003-09-01 | 2003-12-16 |
| AFC126 | LEUNG Yun Fuk | 梁潤福 | RE | Dealing in Futures Contracts | 2003-04-01 | 2008-04-29 |
| AFC126 | LEUNG Yun Fuk | 梁潤福 | RO | Dealing in Futures Contracts | 2008-04-29 | 2013-07-30 |
| AFC126 | LEUNG Yun Fuk | 梁潤福 | RE | Advising on Futures Contracts | 2003-04-01 | 2003-08-11 |
| AFC126 | LEUNG Yun Fuk | 梁潤福 | RO | Advising on Futures Contracts | 2011-03-10 | 2013-07-30 |
| AFC126 | LEUNG Yun Fuk | 梁潤福 | RE | Asset Management | 2003-04-01 | 2003-08-11 |
| AFC126 | LEUNG Yun Fuk | 梁潤福 | RO | Asset Management | 2012-02-22 | 2013-07-30 |
| AGQ352 | HUI Hon Yuen, Benedict | 許瀚源 | RE | Dealing in Futures Contracts | 2004-08-19 | 2007-08-22 |
| AGQ352 | HUI Hon Yuen, Benedict | 許瀚源 | RO | Dealing in Futures Contracts | 2007-08-22 | 2010-06-14 |
| AGT998 | FAN Kei Shun, Lester | 范基信 | RE | Dealing in Futures Contracts | 2003-04-01 | 2004-07-07 |
| AGT998 | FAN Kei Shun, Lester | 范基信 | RO | Dealing in Futures Contracts | 2004-07-07 | 2007-09-22 |
| AGT998 | FAN Kei Shun, Lester | 范基信 | RE | Advising on Futures Contracts | 2003-04-01 | 2003-09-19 |
| AGT998 | FAN Kei Shun, Lester | 范基信 | RE | Asset Management | 2003-04-01 | 2003-09-19 |
| AJE368 | MOK Hiu Lam | 莫曉籃 | RE | Dealing in Futures Contracts | 2016-09-29 | 2017-04-22 |
| AJI703 | WONG Tin Ho | 黃天豪 | RE | Dealing in Futures Contracts | 2010-04-15 | 2010-05-31 |
| AJI703 | WONG Tin Ho | 黃天豪 | RO | Dealing in Futures Contracts | 2010-05-31 | 2013-12-06 |
| AJI703 | WONG Tin Ho | 黃天豪 | RO | Advising on Futures Contracts | 2011-03-10 | 2013-07-02 |
| AJI703 | WONG Tin Ho | 黃天豪 | RO | Asset Management | 2013-04-29 | 2013-12-06 |
| APH572 | WONG Ying Kit | 黃英傑 | RE | Dealing in Futures Contracts | 2017-05-24 | 2017-06-21 |
| APH572 | WONG Ying Kit | 黃英傑 | RO | Dealing in Futures Contracts | 2017-06-21 | 2017-07-25 |
| AQG916 | YUEN Wai Man | 袁偉文 | RE | Dealing in Futures Contracts | 2010-08-10 | 2011-06-27 |
| ARE719 | LAM Kin San | 林建燊 | RE | Dealing in Futures Contracts | 2009-08-13 | 2011-06-09 |
| ARE719 | LAM Kin San | 林建燊 | RO | Dealing in Futures Contracts | 2011-06-09 | 2012-05-11 |
| ARE719 | LAM Kin San | 林建燊 | RO | Asset Management | 2012-02-22 | 2012-05-11 |
| ARF537 | MILLER Ryan James | RE | Dealing in Futures Contracts | 2012-01-09 | 2012-11-23 | |
| ASI371 | LEE Chun Wai | 李俊葦 | RE | Dealing in Futures Contracts | 2010-09-20 | 2011-12-16 |
| ASS916 | LEI Zhongren | 雷忠仁 | RE | Asset Management | 2015-06-05 | 2015-07-21 |
| ASS916 | LEI Zhongren | 雷忠仁 | RO | Asset Management | 2015-07-21 | 2016-04-29 |
| ATM806 | WONG Chun Kong | 黃振江 | RE | Dealing in Futures Contracts | 2017-06-02 | 2017-12-08 |
| ATM806 | WONG Chun Kong | 黃振江 | RO | Dealing in Futures Contracts | 2017-12-08 | |
| ATN823 | SZE Hung Kwok | 施雄國 | RE | Dealing in Futures Contracts | 2009-09-08 | 2009-11-06 |
| ATR255 | FU Jinfeng | 付錦鋒 | RE | Dealing in Futures Contracts | 2009-09-10 | 2010-07-22 |
| ATR255 | FU Jinfeng | 付錦鋒 | RO | Dealing in Futures Contracts | 2010-07-22 | 2010-11-01 |
| AVM639 | WOO Kai Wing Ray | 胡啟榮 | RE | Dealing in Futures Contracts | 2017-04-20 | |
| AVS190 | CHAN Yung Chi | 陳勇智 | RE | Dealing in Futures Contracts | 2010-08-26 | 2010-12-10 |
| AWD940 | LAI Wa Hing | 賴華興 | RE | Dealing in Futures Contracts | 2018-08-28 | |
| AWQ112 | LI Po Yi | 李寶兒 | RE | Dealing in Futures Contracts | 2016-09-08 | 2016-11-01 |
| AWQ112 | LI Po Yi | 李寶兒 | RO | Dealing in Futures Contracts | 2016-11-01 | |
| AWS533 | YAU Ho Pan | 邱浩彬 | RE | Dealing in Futures Contracts | 2011-02-24 | 2014-03-31 |
| AWS533 | YAU Ho Pan | 邱浩彬 | RO | Dealing in Futures Contracts | 2014-03-31 | 2015-10-22 |
| AWS533 | YAU Ho Pan | 邱浩彬 | RE | Asset Management | 2013-01-31 | 2014-05-19 |
| AWS533 | YAU Ho Pan | 邱浩彬 | RO | Asset Management | 2014-05-19 | 2015-10-22 |
| AXJ864 | WONG Mei Ning | 黃美寧 | RE | Dealing in Futures Contracts | 2015-08-25 | 2016-09-21 |
| AXN054 | FAN Chun Chiu | 范俊超 | RE | Dealing in Futures Contracts | 2011-06-27 | 2012-10-17 |
| AYI690 | FAN Jianqiang | 樊建強 | RO | Dealing in Futures Contracts | 2012-05-23 | 2014-12-31 |
| AYI690 | FAN Jianqiang | 樊建強 | RO | Advising on Futures Contracts | 2012-05-23 | 2013-07-02 |
| AYI690 | FAN Jianqiang | 樊建強 | RO | Asset Management | 2012-05-23 | 2014-12-31 |
| AYI790 | LEUNG Kai Kin | 梁啟健 | RE | Dealing in Futures Contracts | 2011-12-14 | 2012-09-21 |
| AYQ555 | QU Zhengzhe | 屈正哲 | RO | Dealing in Futures Contracts | 2012-09-27 | 2013-03-22 |
| AYQ555 | QU Zhengzhe | 屈正哲 | RO | Dealing in Futures Contracts | 2013-12-04 | 2016-08-04 |
| AYQ555 | QU Zhengzhe | 屈正哲 | RO | Advising on Futures Contracts | 2012-09-27 | 2013-03-22 |
| AYQ555 | QU Zhengzhe | 屈正哲 | RO | Asset Management | 2012-09-27 | 2013-03-22 |
| AYQ555 | QU Zhengzhe | 屈正哲 | RO | Asset Management | 2013-12-04 | 2016-07-06 |
| AZD058 | WONG Cheuk Sun | 王卓燊 | RE | Dealing in Futures Contracts | 2012-03-07 | 2014-02-28 |
| AZD058 | WONG Cheuk Sun | 王卓燊 | RE | Asset Management | 2013-01-31 | 2014-02-28 |
| AZE524 | HUNG Hon Pan | 孔漢彬 | RE | Dealing in Futures Contracts | 2015-12-18 | 2017-04-02 |
| AZG570 | CHAN Kin Ping | 陳健平 | RE | Dealing in Futures Contracts | 2012-04-10 | 2013-03-07 |
| AZG575 | HO Ho Ming | 何浩銘 | RE | Dealing in Futures Contracts | 2012-04-10 | 2014-02-28 |
| AZG575 | HO Ho Ming | 何浩銘 | RE | Asset Management | 2013-05-07 | 2014-02-28 |
| AZJ522 | JIANG Zhiwei | 蔣志偉 | RE | Dealing in Futures Contracts | 2014-11-13 | 2015-01-21 |
| AZJ522 | JIANG Zhiwei | 蔣志偉 | RO | Dealing in Futures Contracts | 2015-01-21 | |
| AZJ522 | JIANG Zhiwei | 蔣志偉 | RE | Asset Management | 2014-12-29 | 2015-11-05 |
| AZX593 | LEUNG Yu Hin | 梁宇軒 | RE | Dealing in Futures Contracts | 2016-09-21 | 2017-01-13 |
| BAH456 | ZENG Haibo | 曾海波 | RE | Dealing in Futures Contracts | 2013-05-02 | 2013-12-06 |
| BAR660 | KWAN Siu Tat, Tommy | 關兆達 | RE | Dealing in Futures Contracts | 2016-08-10 | 2016-10-11 |
| BBD017 | QIAN Yifei | 錢燚飛 | RE | Dealing in Futures Contracts | 2013-04-10 | 2014-05-31 |
| BBF106 | LIANG Benyou | 梁本有 | RE | Dealing in Futures Contracts | 2013-07-03 | 2015-10-01 |
| BBF106 | LIANG Benyou | 梁本有 | RE | Asset Management | 2015-01-02 | 2015-10-01 |
| BBJ062 | CHAN Pak Hei | 陳柏熹 | RE | Dealing in Futures Contracts | 2017-10-25 | |
| BBT522 | CHAN Tsz Kwan | 陳子鈞 | RE | Dealing in Futures Contracts | 2016-01-29 | 2016-10-28 |
| BBT522 | CHAN Tsz Kwan | 陳子鈞 | RO | Dealing in Futures Contracts | 2016-10-28 | 2016-12-14 |
| BCA255 | CHEUNG Yin | 張賢 | RE | Dealing in Futures Contracts | 2013-10-10 | 2015-12-16 |
| BCA257 | WONG Chun Ho | 黃俊豪 | RE | Dealing in Futures Contracts | 2013-10-10 | 2015-03-27 |
| BCA257 | WONG Chun Ho | 黃俊豪 | RE | Asset Management | 2015-02-10 | 2015-03-27 |
| BDA462 | WANG Tin Fu | 王天賦 | RE | Dealing in Futures Contracts | 2016-12-22 | 2017-06-18 |
| BEI582 | CHAN Tsz Kit | 陳子杰 | RE | Dealing in Futures Contracts | 2014-10-14 | 2015-11-29 |
| BEO347 | LIU Jianwen | 劉建文 | RE | Dealing in Futures Contracts | 2014-12-16 | 2016-04-30 |
| BEO357 | FENG Lili | 馮麗莉 | RE | Dealing in Futures Contracts | 2014-12-16 | 2015-03-10 |
| BEO408 | HUANG Jing | 黃晶 | RE | Dealing in Futures Contracts | 2014-12-16 | 2016-02-22 |
| BFC736 | TSANG Kwong Hing | 曾廣慶 | RE | Dealing in Futures Contracts | 2017-06-23 | 2018-08-12 |
| BFE614 | PAN Luming | 潘璐明 | RE | Dealing in Futures Contracts | 2015-04-20 | 2015-08-21 |
| BFP702 | YUEN Chun Hin | 阮雋軒 | RE | Dealing in Futures Contracts | 2015-07-03 | 2015-12-23 |
| BGB433 | LAW Tsz Shing | 羅子成 | RE | Dealing in Futures Contracts | 2017-02-07 | 2017-06-09 |
| BGL130 | HUANG Weixuan | 黃偉璇 | RE | Dealing in Futures Contracts | 2016-01-11 | 2017-09-30 |
| BGQ366 | MO Weiming | 莫威銘 | RE | Dealing in Futures Contracts | 2015-12-15 | 2016-08-06 |
| BGQ367 | LAW Cheuk Chung | 羅卓聰 | RE | Dealing in Futures Contracts | 2015-12-10 | 2016-07-15 |
| BHU900 | CHAN King Hong | 陳敬康 | RE | Dealing in Futures Contracts | 2016-08-17 | 2016-12-28 |
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