Hong Kong SFC licence institution ABA410, BMO Global Asset Management (Asia) Limited

These are the licence-holders that were found for SFC licence institution ABA410 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
AAB351 LLOYD GEORGE Robert John Daniel RO Dealing in Securities 2012-09-28 2014-04-30
AAB351 LLOYD GEORGE Robert John Daniel RO Advising on Securities 2004-10-19 2014-04-30
AAB351 LLOYD GEORGE Robert John Daniel RO Asset Management 2004-10-19 2014-04-30
ABC844 KERR William Walter Raleigh RO Dealing in Securities 2012-09-28 2013-09-30
ABC844 KERR William Walter Raleigh RO Advising on Securities 2004-05-31 2013-09-30
ABC844 KERR William Walter Raleigh RO Asset Management 2004-05-31 2013-09-30
ABD368 TANG Man Fat 鄧萬發 RE Advising on Securities 2012-10-04 2012-12-17
ABD368 TANG Man Fat 鄧萬發 RO Advising on Securities 2012-12-17 2014-02-01
ABD368 TANG Man Fat 鄧萬發 RE Asset Management 2012-10-04 2012-12-17
ABD368 TANG Man Fat 鄧萬發 RO Asset Management 2012-12-17 2014-02-01
ABN768 CHAN LU Suk On, Pamela 陳呂淑安 RE Advising on Securities 2012-10-04 2012-12-18
ABN768 CHAN LU Suk On, Pamela 陳呂淑安 RO Advising on Securities 2012-12-18 2014-11-01
ABN768 CHAN LU Suk On, Pamela 陳呂淑安 RE Asset Management 2012-10-04 2012-12-18
ABN768 CHAN LU Suk On, Pamela 陳呂淑安 RO Asset Management 2012-12-18 2014-11-01
ABS203 LEUNG Yi Fun Peggy 梁綺芬 RE Dealing in Securities 2012-10-04 2015-09-02
ABS203 LEUNG Yi Fun Peggy 梁綺芬 RE Advising on Securities 2012-10-04 2015-09-02
ACJ313 MA Yat Fai, Stephen 馬日暉 RO Dealing in Securities 2015-12-08 2016-07-23
ACJ313 MA Yat Fai, Stephen 馬日暉 RE Advising on Securities 2014-11-03 2015-05-12
ACJ313 MA Yat Fai, Stephen 馬日暉 RO Advising on Securities 2015-05-12 2016-07-23
ACJ313 MA Yat Fai, Stephen 馬日暉 RE Asset Management 2014-11-03 2015-05-12
ACJ313 MA Yat Fai, Stephen 馬日暉 RO Asset Management 2015-05-12 2016-07-23
AFT866 LEUNG Wing Yan 梁詠欣 RE Dealing in Securities 2012-10-04 2015-09-01
AFT866 LEUNG Wing Yan 梁詠欣 RE Advising on Securities 2012-10-04 2015-09-01
AFV960 WEE May Ling 黃美玲 RE Advising on Securities 2012-10-04 2015-04-30
AFV960 WEE May Ling 黃美玲 RE Asset Management 2012-10-04 2015-04-30
AFY865 CHOW Man 周敏 RE Dealing in Securities 2015-07-29 2017-06-24
AFY865 CHOW Man 周敏 RE Advising on Securities 2015-07-29 2017-06-24
AFY865 CHOW Man 周敏 RE Asset Management 2015-07-29 2017-06-24
AGE009 JAP Wing Lai 葉永麗 RE Advising on Securities 2012-10-04 2015-10-07
AGE009 JAP Wing Lai 葉永麗 RE Asset Management 2012-10-04 2015-10-07
AIG231 LAI Nga Ting, Anthea 賴雅婷 RE Dealing in Securities 2012-10-04 2014-04-24
AIG231 LAI Nga Ting, Anthea 賴雅婷 RE Advising on Securities 2012-10-04 2014-04-24
AIG231 LAI Nga Ting, Anthea 賴雅婷 RE Asset Management 2012-10-04 2014-04-24
ALW790 DARLING Christopher Edwin RE Dealing in Securities 2012-10-04 2013-08-09
ALW790 DARLING Christopher Edwin RE Dealing in Securities 2016-09-09
ALW790 DARLING Christopher Edwin RO Dealing in Securities 2013-08-09 2015-10-19
ALW790 DARLING Christopher Edwin RE Advising on Securities 2012-10-04 2013-08-09
ALW790 DARLING Christopher Edwin RE Advising on Securities 2016-09-09
ALW790 DARLING Christopher Edwin RO Advising on Securities 2013-08-09 2015-10-19
ALW790 DARLING Christopher Edwin RE Asset Management 2012-10-04 2013-08-09
ALW790 DARLING Christopher Edwin RE Asset Management 2016-09-09
ALW790 DARLING Christopher Edwin RO Asset Management 2013-08-09 2015-10-19
AMI310 YEUNG Wai Fun 楊慧芬 RE Dealing in Securities 2012-10-04 2015-11-01
AMI310 YEUNG Wai Fun 楊慧芬 RE Advising on Securities 2012-10-04 2015-11-01
AMM444 LUI Ying 呂盈 RE Advising on Securities 2015-01-29 2017-04-20
AMM444 LUI Ying 呂盈 RO Advising on Securities 2017-04-20
AMM444 LUI Ying 呂盈 RE Asset Management 2015-01-29 2017-04-20
AMM444 LUI Ying 呂盈 RO Asset Management 2017-04-20
AMP024 TANG Christopher Ping Yin 鄧秉賢 RE Advising on Securities 2012-10-04 2015-05-12
AMP024 TANG Christopher Ping Yin 鄧秉賢 RE Asset Management 2012-10-04 2015-05-12
AOA395 YE Lin 葉林 RE Dealing in Securities 2012-10-04 2015-08-08
AOA395 YE Lin 葉林 RE Advising on Securities 2012-10-04 2015-08-08
AOA395 YE Lin 葉林 RE Asset Management 2012-10-04 2015-08-08
APB571 WONG Gladys Chi-ching 黃志貞 RE Dealing in Securities 2012-10-04 2015-09-02
APB571 WONG Gladys Chi-ching 黃志貞 RE Advising on Securities 2012-10-04 2015-09-02
APO549 PONG Hayden Hei Ting 龐熙霆 RE Dealing in Securities 2012-10-09 2015-06-07
APO549 PONG Hayden Hei Ting 龐熙霆 RE Advising on Securities 2012-10-09 2015-06-07
APP358 FUNG Wing Sze 馮詠詩 RE Dealing in Securities 2014-04-17
APP358 FUNG Wing Sze 馮詠詩 RE Advising on Securities 2014-04-17
APP358 FUNG Wing Sze 馮詠詩 RE Asset Management 2014-04-17
AQB109 TIAN Ligeng 田勵耕 RE Advising on Securities 2012-10-04 2014-04-24
AQB109 TIAN Ligeng 田勵耕 RE Asset Management 2012-10-04 2014-04-24
ARA846 LIMOND Andrew Mark RE Advising on Securities 2012-10-04 2013-04-15
ARA846 LIMOND Andrew Mark RE Asset Management 2012-10-04 2013-04-15
ARP301 CHEN Tzu-Yuan 陳姿元 RE Advising on Securities 2012-10-04 2014-04-24
ARP301 CHEN Tzu-Yuan 陳姿元 RE Asset Management 2012-10-04 2014-04-24
ARP541 TEOH Chin Wei 張津偉 RE Dealing in Securities 2018-02-05
ARP541 TEOH Chin Wei 張津偉 RE Advising on Securities 2018-02-05
ASH733 FU Hiu Wun 傅曉媛 RE Dealing in Securities 2012-10-04 2015-11-01
ASH733 FU Hiu Wun 傅曉媛 RE Advising on Securities 2012-10-04 2015-11-01
ATN578 GOMI Masaomi 五味正臣 RE Advising on Securities 2012-10-04 2015-04-30
ATN578 GOMI Masaomi 五味正臣 RE Asset Management 2012-10-04 2015-04-30
AVM931 CHAN Adrian Tsang Kwong 陳增光 RE Dealing in Securities 2017-12-05
AVM931 CHAN Adrian Tsang Kwong 陳增光 RE Advising on Securities 2017-12-05
AVM931 CHAN Adrian Tsang Kwong 陳增光 RE Asset Management 2017-12-05
AVQ212 FOK Ho Wah 霍浩華 RE Dealing in Securities 2018-07-30
AVQ212 FOK Ho Wah 霍浩華 RE Advising on Securities 2018-07-30
AVQ212 FOK Ho Wah 霍浩華 RE Asset Management 2018-07-30
AVW223 CHAN Choon Wei Clarence RE Dealing in Securities 2014-03-19 2015-08-26
AVW223 CHAN Choon Wei Clarence RO Dealing in Securities 2015-08-26
AVW223 CHAN Choon Wei Clarence RE Advising on Securities 2014-03-19 2015-08-26
AVW223 CHAN Choon Wei Clarence RO Advising on Securities 2015-08-26
AVW223 CHAN Choon Wei Clarence RE Asset Management 2014-03-19 2015-08-26
AVW223 CHAN Choon Wei Clarence RO Asset Management 2015-08-26
AXD822 RIGBY Romain Alexander 黎龍敏 RE Advising on Securities 2012-10-04 2015-05-01
AXD822 RIGBY Romain Alexander 黎龍敏 RE Asset Management 2012-10-04 2015-05-01
AXS218 CHEE Swee Wei 植思輝 RE Advising on Securities 2016-11-22
AXS218 CHEE Swee Wei 植思輝 RE Asset Management 2016-11-22
AYM102 DONG Yingying 董鶯鶯 RE Advising on Securities 2015-12-24
AYM102 DONG Yingying 董鶯鶯 RE Asset Management 2015-12-24
AYU513 HUNTER Irina RE Advising on Securities 2012-01-16 2015-10-07
AYU513 HUNTER Irina RE Asset Management 2012-01-16 2015-10-07
AYV303 WHITMORE SNOW Amanda Clare 魏麗明 RE Dealing in Securities 2012-10-04 2016-05-01
AYV303 WHITMORE SNOW Amanda Clare 魏麗明 RE Advising on Securities 2012-10-04 2016-05-01
AZL251 LEUNG Ngar Nai 梁雅妮 RE Dealing in Securities 2012-10-04 2017-12-13
AZL251 LEUNG Ngar Nai 梁雅妮 RE Advising on Securities 2012-10-04 2017-12-13
BBS238 CHOW Kwun Chung 周冠仲 RE Dealing in Securities 2018-09-11
BBS238 CHOW Kwun Chung 周冠仲 RE Advising on Securities 2018-09-11
BBS238 CHOW Kwun Chung 周冠仲 RE Asset Management 2018-09-11
BBW657 LAM Si U 林斯渝 RE Dealing in Securities 2014-06-23 2014-11-22
BCP374 PRAKASH Amit RO Dealing in Securities 2014-05-15 2015-12-25
BCP374 PRAKASH Amit RO Advising on Securities 2014-05-15 2015-12-25
BCP374 PRAKASH Amit RO Asset Management 2014-05-15 2015-12-25
BCR036 CHIOU How Teng RE Advising on Securities 2014-02-06 2015-05-05
BCR036 CHIOU How Teng RE Asset Management 2014-02-06 2015-05-05
BCS522 XU Na 徐娜 RE Dealing in Securities 2014-06-23 2016-06-04
BCY714 CHAN Fiona Chak-Yan 陳澤恩 RE Advising on Securities 2014-03-25 2015-04-30
BCY714 CHAN Fiona Chak-Yan 陳澤恩 RE Asset Management 2014-03-25 2015-04-30
BDN977 AL-KARIMI Syed Daanish RE Dealing in Securities 2014-06-09
BDN977 AL-KARIMI Syed Daanish RE Advising on Securities 2014-06-09
BDN981 TAYLOR Keith James RE Advising on Securities 2014-07-04 2018-07-11
BDN981 TAYLOR Keith James RE Asset Management 2014-07-04 2018-07-11
BDN986 XIE Yi 謝怡 RE Dealing in Securities 2014-07-04 2015-05-14
BDN986 XIE Yi 謝怡 RO Dealing in Securities 2015-05-14 2017-06-16
BDN986 XIE Yi 謝怡 RE Advising on Securities 2014-07-04 2015-05-14
BDN986 XIE Yi 謝怡 RO Advising on Securities 2015-05-14 2017-06-16
BDN986 XIE Yi 謝怡 RE Asset Management 2014-07-04 2015-05-14
BDN986 XIE Yi 謝怡 RO Asset Management 2015-05-14 2017-06-16
BEI848 RAMOS Ernesto RE Dealing in Securities 2014-11-06 2014-11-16
BEL221 CHAN Kam Chau Raymond 陳錦秋 RE Dealing in Securities 2014-11-06 2015-01-05
BET290 FUNG Lai Ping Cecily 馮麗萍 RE Dealing in Securities 2015-01-30 2015-09-02
BET290 FUNG Lai Ping Cecily 馮麗萍 RE Advising on Securities 2015-01-30 2015-09-02
BET292 LEUNG Wai Ling 梁惠玲 RE Dealing in Securities 2015-01-30 2015-09-01
BET292 LEUNG Wai Ling 梁惠玲 RE Advising on Securities 2015-01-30 2015-09-01
BEW965 LEE Alfred RE Dealing in Securities 2015-02-02 2015-04-30
BFT906 HU Xin 胡昕 RE Dealing in Securities 2015-08-03 2017-09-30
BFT906 HU Xin 胡昕 RE Advising on Securities 2015-08-03 2017-09-30
BGT167 SRISKANDARAJAH Raveendra RO Dealing in Securities 2016-05-16
BGT167 SRISKANDARAJAH Raveendra RO Advising on Securities 2016-05-16
BGT167 SRISKANDARAJAH Raveendra RO Asset Management 2016-05-16
BHJ467 LI Yimiao 李逸邈 RE Advising on Securities 2018-05-21
BHJ467 LI Yimiao 李逸邈 RE Asset Management 2018-05-07
BHM180 PATTON Adrian Keith RE Dealing in Securities 2016-05-20 2016-05-28
BHP716 KUNIMOTO Yukari RE Dealing in Securities 2016-06-21
BHP716 KUNIMOTO Yukari RE Advising on Securities 2016-06-21
BIZ898 CHAN Tak Mo 陳德武 RE Dealing in Securities 2017-03-09 2017-09-30
BIZ898 CHAN Tak Mo 陳德武 RE Advising on Securities 2017-03-09 2017-09-30
BLL579 CHEUNG Chun Chun Vivian RE Dealing in Securities 2017-11-21 2018-04-18
BLL579 CHEUNG Chun Chun Vivian RE Advising on Securities 2017-11-21 2018-04-18
BNP041 MAIR Hamish John Garrow RE Dealing in Securities 2018-10-04 2018-10-12

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