Hong Kong SFC licence institution ACE269, UKFP (Asia) HK Limited

These are the licence-holders that were found for SFC licence institution ACE269 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
AAG571 LAWRENCE John David RO Dealing in Securities 2003-04-01 2004-09-03
AAG571 LAWRENCE John David RO Advising on Securities 2003-04-01 2004-09-03
AAG571 LAWRENCE John David RO Advising on Corporate Finance 2003-04-01 2004-08-30
AAG571 LAWRENCE John David RO Asset Management 2003-04-01 2004-09-03
AAV954 LEUNG Won Yee, Yvonne 梁韻怡 RO Dealing in Securities 2003-04-01 2004-11-05
AAV954 LEUNG Won Yee, Yvonne 梁韻怡 RO Advising on Securities 2003-04-01 2004-10-13
AAV954 LEUNG Won Yee, Yvonne 梁韻怡 RO Asset Management 2003-04-01 2004-11-05
AAW771 CHAPMAN David William RE Dealing in Securities 2003-04-01 2004-09-03
AAW771 CHAPMAN David William RE Advising on Securities 2003-04-01 2004-09-03
AAW771 CHAPMAN David William RE Advising on Corporate Finance 2003-04-01 2004-08-25
AAW771 CHAPMAN David William RE Asset Management 2003-04-01 2004-09-03
AAY556 LAW Chi Kwong 羅志光 RE Dealing in Securities 2003-04-01 2004-09-03
AAY556 LAW Chi Kwong 羅志光 RE Advising on Securities 2003-04-01 2004-09-03
AAY556 LAW Chi Kwong 羅志光 RE Advising on Corporate Finance 2003-04-01 2004-08-14
AAY556 LAW Chi Kwong 羅志光 RE Asset Management 2003-04-01 2004-09-03
ABA739 LAM Kwok Kay 林國基 RE Dealing in Securities 2003-04-01 2004-08-23
ABA739 LAM Kwok Kay 林國基 RE Advising on Securities 2003-04-01 2004-08-23
ABA739 LAM Kwok Kay 林國基 RE Advising on Corporate Finance 2003-04-01 2004-08-14
ABA739 LAM Kwok Kay 林國基 RE Asset Management 2003-04-01 2004-08-14
ABD420 KO Tai Fun 高泰芬 RE Dealing in Securities 2003-04-01 2004-06-29
ABD420 KO Tai Fun 高泰芬 RE Advising on Securities 2003-04-01 2004-06-29
ABD420 KO Tai Fun 高泰芬 RE Advising on Corporate Finance 2003-04-01 2004-06-28
ABD420 KO Tai Fun 高泰芬 RE Asset Management 2003-04-01 2004-06-29
ABE326 NG Shuk Ming, Karen 吳淑明 RE Dealing in Securities 2003-04-01 2004-08-01
ABE326 NG Shuk Ming, Karen 吳淑明 RE Advising on Securities 2003-04-01 2004-10-13
ABE326 NG Shuk Ming, Karen 吳淑明 RE Advising on Corporate Finance 2003-04-01 2004-08-01
ABE326 NG Shuk Ming, Karen 吳淑明 RE Asset Management 2003-04-01 2004-08-01
ABF893 CHAN Suk Yee, Lucia 陳淑儀 RE Dealing in Securities 2003-04-01 2003-04-09
ABF893 CHAN Suk Yee, Lucia 陳淑儀 RE Advising on Securities 2003-04-01 2003-04-09
ABF893 CHAN Suk Yee, Lucia 陳淑儀 RE Advising on Corporate Finance 2003-04-01 2003-04-09
ABF893 CHAN Suk Yee, Lucia 陳淑儀 RE Asset Management 2003-04-01 2003-04-09
ABR836 STILL Graeme John RO Dealing in Securities 2004-12-15 2005-06-01
ABS851 BULL Robert William RO Dealing in Securities 2003-04-01 2003-11-05
ABS851 BULL Robert William RO Advising on Securities 2003-04-01 2003-11-05
ABS851 BULL Robert William RO Advising on Corporate Finance 2003-04-01 2003-11-05
ABS851 BULL Robert William RO Asset Management 2003-04-01 2003-11-05
ABV417 FAN Hoi Yan, Helena 范凱欣 RE Dealing in Securities 2003-04-01 2004-02-04
ABV417 FAN Hoi Yan, Helena 范凱欣 RE Advising on Securities 2003-04-01 2004-02-04
ABV417 FAN Hoi Yan, Helena 范凱欣 RE Advising on Corporate Finance 2003-04-01 2004-02-04
ABV417 FAN Hoi Yan, Helena 范凱欣 RE Asset Management 2003-04-01 2004-02-04
ABW915 BEALE Christopher John RE Dealing in Securities 2003-04-01 2003-07-30
ABW915 BEALE Christopher John RE Advising on Securities 2003-04-01 2003-07-30
ABW915 BEALE Christopher John RE Advising on Corporate Finance 2003-04-01 2003-07-30
ABW915 BEALE Christopher John RE Asset Management 2003-04-01 2003-07-30
ABZ070 WILKINSON David Wayne RE Dealing in Securities 2003-04-01 2003-04-17
ABZ070 WILKINSON David Wayne RE Advising on Securities 2003-04-01 2003-04-17
ABZ070 WILKINSON David Wayne RE Advising on Corporate Finance 2003-04-01 2003-04-17
ABZ070 WILKINSON David Wayne RE Asset Management 2003-04-01 2003-04-17
ABZ105 LO Sai Wo 盧世和 RE Dealing in Securities 2003-04-01 2004-08-01
ABZ105 LO Sai Wo 盧世和 RE Advising on Securities 2003-04-01 2004-08-01
ABZ105 LO Sai Wo 盧世和 RE Advising on Corporate Finance 2003-04-01 2004-08-01
ABZ105 LO Sai Wo 盧世和 RE Asset Management 2003-04-01 2004-08-01
ACA710 HARRIS Nigel Scott RO Dealing in Securities 2004-03-16 2005-01-05
ACA710 HARRIS Nigel Scott RO Advising on Securities 2004-03-16 2004-10-13
ACE795 TAI Pak Kin 戴伯乾 RE Dealing in Securities 2003-04-01 2004-08-17
ACE795 TAI Pak Kin 戴伯乾 RE Advising on Securities 2003-04-01 2004-08-17
ACE795 TAI Pak Kin 戴伯乾 RE Advising on Corporate Finance 2003-04-01 2004-08-14
ACE795 TAI Pak Kin 戴伯乾 RE Asset Management 2003-04-01 2004-08-17
ACF802 JONES CHONG Ping Lei, Pauline 莊萍莉 RE Dealing in Securities 2003-04-01 2003-07-08
ACF802 JONES CHONG Ping Lei, Pauline 莊萍莉 RE Advising on Securities 2003-04-01 2003-07-08
ACF802 JONES CHONG Ping Lei, Pauline 莊萍莉 RE Advising on Corporate Finance 2003-04-01 2003-07-08
ACF802 JONES CHONG Ping Lei, Pauline 莊萍莉 RE Asset Management 2003-04-01 2003-07-08
ACM353 LAM Yau Ha 林幼霞 RE Dealing in Securities 2003-04-01 2004-08-17
ACM353 LAM Yau Ha 林幼霞 RE Advising on Securities 2003-04-01 2004-08-17
ACM353 LAM Yau Ha 林幼霞 RE Advising on Corporate Finance 2003-04-01 2004-08-16
ACM353 LAM Yau Ha 林幼霞 RE Asset Management 2003-04-01 2004-08-16
ACS111 HADDEN Robert Peter RE Dealing in Securities 2003-04-01 2004-04-02
ACS111 HADDEN Robert Peter RE Advising on Securities 2003-04-01 2004-04-02
ACS111 HADDEN Robert Peter RE Advising on Corporate Finance 2003-04-01 2004-04-02
ACS111 HADDEN Robert Peter RE Asset Management 2003-04-01 2004-04-02
ADB715 LEUNG Kit Ming, Cindy 梁潔明 RE Dealing in Securities 2003-07-11 2003-08-15
ADF368 CHAN Kwok Lung 陳國龍 RE Dealing in Securities 2003-04-01 2003-09-11
ADF368 CHAN Kwok Lung 陳國龍 RE Advising on Securities 2003-04-01 2003-09-11
ADF368 CHAN Kwok Lung 陳國龍 RE Advising on Corporate Finance 2003-04-01 2003-09-11
ADF368 CHAN Kwok Lung 陳國龍 RE Asset Management 2003-04-01 2003-09-11
ADL660 WONG Gigi Nga Chi 黃雅芝 RE Dealing in Securities 2003-04-01 2004-10-01
ADL660 WONG Gigi Nga Chi 黃雅芝 RE Advising on Securities 2003-04-01 2004-10-01
ADL660 WONG Gigi Nga Chi 黃雅芝 RE Advising on Corporate Finance 2003-04-01 2004-05-24
ADL660 WONG Gigi Nga Chi 黃雅芝 RE Asset Management 2003-04-01 2004-10-01
ADS646 DAVIES Christopher Gareth Edward RE Dealing in Securities 2003-04-01 2004-09-28
ADS646 DAVIES Christopher Gareth Edward RE Advising on Securities 2003-04-01 2004-09-28
ADS646 DAVIES Christopher Gareth Edward RE Advising on Corporate Finance 2003-04-01 2004-09-28
ADS646 DAVIES Christopher Gareth Edward RE Asset Management 2003-04-01 2004-09-28
ADY777 WONG Siu Ning 黃兆寧 RE Dealing in Securities 2003-04-01 2003-06-30
ADY777 WONG Siu Ning 黃兆寧 RE Advising on Securities 2003-04-01 2003-06-30
ADY777 WONG Siu Ning 黃兆寧 RE Advising on Corporate Finance 2003-04-01 2003-06-30
ADY777 WONG Siu Ning 黃兆寧 RE Asset Management 2003-04-01 2003-06-30
ADY945 PARK Mi-Eun RE Dealing in Securities 2003-04-01 2004-07-08
ADY945 PARK Mi-Eun RE Advising on Securities 2003-04-01 2004-07-08
ADY945 PARK Mi-Eun RE Advising on Corporate Finance 2003-04-01 2004-07-07
ADY945 PARK Mi-Eun RE Asset Management 2003-04-01 2004-07-07
AEC527 JONES Richard Evan RE Dealing in Securities 2003-04-01 2003-10-23
AEC527 JONES Richard Evan RE Advising on Securities 2003-04-01 2003-10-23
AEC527 JONES Richard Evan RE Advising on Corporate Finance 2003-04-01 2003-10-22
AEC527 JONES Richard Evan RE Asset Management 2003-04-01 2003-10-22
AED823 KAM Chi Yan, Norbert 甘志仁 RE Dealing in Securities 2003-04-01 2004-08-16
AED823 KAM Chi Yan, Norbert 甘志仁 RE Advising on Securities 2003-04-01 2004-08-16
AED823 KAM Chi Yan, Norbert 甘志仁 RE Advising on Corporate Finance 2003-04-01 2004-05-24
AED823 KAM Chi Yan, Norbert 甘志仁 RE Asset Management 2003-04-01 2004-05-24
AEE307 CROUCHER Sean Nicholas RE Dealing in Securities 2003-04-01 2004-08-17
AEE307 CROUCHER Sean Nicholas RE Advising on Securities 2003-04-01 2004-08-17
AEE307 CROUCHER Sean Nicholas RE Advising on Corporate Finance 2003-04-01 2004-08-14
AEE307 CROUCHER Sean Nicholas RE Asset Management 2003-04-01 2004-08-14
AEI926 LIU Wai Kei 廖煒基 RE Dealing in Securities 2003-04-01 2004-11-05
AEI926 LIU Wai Kei 廖煒基 RE Advising on Securities 2003-04-01 2004-10-13
AEI926 LIU Wai Kei 廖煒基 RE Advising on Corporate Finance 2003-04-01 2004-05-13
AEI926 LIU Wai Kei 廖煒基 RE Asset Management 2003-04-01 2004-05-13
AEJ326 MARRIOTT Paula Patricia RE Dealing in Securities 2003-04-01 2004-08-16
AEJ326 MARRIOTT Paula Patricia RE Advising on Securities 2003-04-01 2004-08-16
AEJ326 MARRIOTT Paula Patricia RE Advising on Corporate Finance 2003-04-01 2004-08-14
AEJ326 MARRIOTT Paula Patricia RE Asset Management 2003-04-01 2004-08-14
AEJ696 LIU Wing Wai 廖榮偉 RE Dealing in Securities 2004-03-05 2004-07-08
AEJ696 LIU Wing Wai 廖榮偉 RE Advising on Securities 2004-03-05 2004-07-08
AEK184 LEUNG Pui 梁佩 RE Dealing in Securities 2003-04-01 2004-08-16
AEK184 LEUNG Pui 梁佩 RE Advising on Securities 2003-04-01 2004-08-16
AEK184 LEUNG Pui 梁佩 RE Advising on Corporate Finance 2003-04-01 2004-05-24
AEK184 LEUNG Pui 梁佩 RE Asset Management 2003-04-01 2004-08-16
AEZ066 CHIU Sung Yip 趙崇業 RE Dealing in Securities 2003-04-01 2004-10-01
AEZ066 CHIU Sung Yip 趙崇業 RE Advising on Securities 2003-04-01 2004-10-01
AEZ066 CHIU Sung Yip 趙崇業 RE Advising on Corporate Finance 2003-04-01 2004-05-24
AEZ066 CHIU Sung Yip 趙崇業 RE Asset Management 2003-04-01 2004-10-01
AFA014 KWOK Ning Chi, Julie 郭鑏芝 RE Dealing in Securities 2003-04-01 2004-04-13
AFA014 KWOK Ning Chi, Julie 郭鑏芝 RE Advising on Securities 2003-04-01 2004-04-13
AFA014 KWOK Ning Chi, Julie 郭鑏芝 RE Advising on Corporate Finance 2003-04-01 2004-04-13
AFA014 KWOK Ning Chi, Julie 郭鑏芝 RE Asset Management 2003-04-01 2004-04-13
AFF433 KEATING Gary John RE Dealing in Securities 2003-04-01 2003-07-30
AFF433 KEATING Gary John RE Advising on Securities 2003-04-01 2003-07-30
AFF433 KEATING Gary John RE Advising on Corporate Finance 2003-04-01 2003-07-30
AFF433 KEATING Gary John RE Asset Management 2003-04-01 2003-07-30
AFK054 LO Sau Wai 羅秀慧 RE Dealing in Securities 2003-04-01 2003-07-08
AFK054 LO Sau Wai 羅秀慧 RE Advising on Securities 2003-04-01 2003-07-08
AFK054 LO Sau Wai 羅秀慧 RE Advising on Corporate Finance 2003-04-01 2003-07-08
AFK054 LO Sau Wai 羅秀慧 RE Asset Management 2003-04-01 2003-07-08
AFP786 LEE Ho Yin 李浩然 RE Dealing in Securities 2004-01-28 2004-08-16
AFP786 LEE Ho Yin 李浩然 RE Advising on Securities 2004-01-28 2004-08-16
AFP786 LEE Ho Yin 李浩然 RE Asset Management 2004-01-28 2004-08-16
AFU408 HO Kar Ming 何嘉明 RE Dealing in Securities 2003-04-01 2005-04-04
AFU408 HO Kar Ming 何嘉明 RE Advising on Securities 2003-04-01 2004-10-13
AFU408 HO Kar Ming 何嘉明 RE Advising on Corporate Finance 2003-04-01 2004-09-28
AFU408 HO Kar Ming 何嘉明 RE Asset Management 2003-04-01 2004-09-28
AFU714 SHUREY Lee Charles RE Dealing in Securities 2003-04-01 2003-06-30
AFU714 SHUREY Lee Charles RE Advising on Securities 2003-04-01 2003-06-30
AFU714 SHUREY Lee Charles RE Advising on Corporate Finance 2003-04-01 2003-06-30
AFU714 SHUREY Lee Charles RE Asset Management 2003-04-01 2003-06-30
AGC300 MAK Bing Sum 麥冰心 RE Dealing in Securities 2003-04-01 2004-08-16
AGC300 MAK Bing Sum 麥冰心 RE Advising on Securities 2003-04-01 2004-08-16
AGC300 MAK Bing Sum 麥冰心 RE Advising on Corporate Finance 2003-04-01 2004-05-24
AGC300 MAK Bing Sum 麥冰心 RE Asset Management 2003-04-01 2004-08-16
AGH232 NG Wai Yee 吳惠儀 RE Dealing in Securities 2003-04-01 2004-08-17
AGH232 NG Wai Yee 吳惠儀 RE Advising on Securities 2003-04-01 2004-08-17
AGH232 NG Wai Yee 吳惠儀 RE Advising on Corporate Finance 2003-04-01 2004-08-16
AGH232 NG Wai Yee 吳惠儀 RE Asset Management 2003-04-01 2004-08-16
AGH346 MA Man Tak 馬文德 RE Dealing in Securities 2003-04-01 2004-08-17
AGH346 MA Man Tak 馬文德 RE Advising on Securities 2003-04-01 2004-08-17
AGH346 MA Man Tak 馬文德 RE Advising on Corporate Finance 2003-04-01 2004-08-14
AGH346 MA Man Tak 馬文德 RE Asset Management 2003-04-01 2004-08-14
AGJ995 MAK May Bo, Eudora 麥美寶 RE Dealing in Securities 2003-04-01 2004-08-17
AGJ995 MAK May Bo, Eudora 麥美寶 RE Advising on Securities 2003-04-01 2004-08-17
AGJ995 MAK May Bo, Eudora 麥美寶 RE Advising on Corporate Finance 2003-04-01 2004-08-14
AGJ995 MAK May Bo, Eudora 麥美寶 RE Asset Management 2003-04-01 2004-08-14
AGN736 WONG Ka Kit, Johnson 王家傑 RE Dealing in Securities 2003-04-01 2003-09-05
AGN736 WONG Ka Kit, Johnson 王家傑 RE Advising on Securities 2003-04-01 2003-09-05
AGN736 WONG Ka Kit, Johnson 王家傑 RE Advising on Corporate Finance 2003-04-01 2003-09-05
AGN736 WONG Ka Kit, Johnson 王家傑 RE Asset Management 2003-04-01 2003-09-05
AGO028 STOCKTON Philip Wheeler RE Dealing in Securities 2003-04-01 2003-04-07
AGO028 STOCKTON Philip Wheeler RE Advising on Securities 2003-04-01 2003-04-07
AGO028 STOCKTON Philip Wheeler RE Advising on Corporate Finance 2003-04-01 2003-04-07
AGO028 STOCKTON Philip Wheeler RE Asset Management 2003-04-01 2003-04-07
AHC732 HO Hoi Wah 何凱華 RE Advising on Securities 2003-04-01 2004-10-01
AHC732 HO Hoi Wah 何凱華 RE Advising on Corporate Finance 2003-04-01 2004-05-24
AHC732 HO Hoi Wah 何凱華 RE Asset Management 2003-04-01 2004-10-01
AHF359 LANCASTER Deborah Helen RE Dealing in Securities 2003-04-01 2003-11-17
AHF359 LANCASTER Deborah Helen RE Advising on Securities 2003-04-01 2003-11-17
AHF359 LANCASTER Deborah Helen RE Advising on Corporate Finance 2003-04-01 2003-11-17
AHF359 LANCASTER Deborah Helen RE Asset Management 2003-04-01 2003-11-17
AHL120 YAO Danhui 姚丹慧 RE Dealing in Securities 2003-04-01 2004-02-04
AHL120 YAO Danhui 姚丹慧 RE Advising on Securities 2003-04-01 2004-02-04
AHL120 YAO Danhui 姚丹慧 RE Advising on Corporate Finance 2003-04-01 2004-02-04
AHL120 YAO Danhui 姚丹慧 RE Asset Management 2003-04-01 2004-02-04
AHS264 LI Chi Lok 李志樂 RE Dealing in Securities 2003-04-01 2004-08-26
AHS264 LI Chi Lok 李志樂 RE Advising on Securities 2003-04-01 2004-08-26
AHS264 LI Chi Lok 李志樂 RE Advising on Corporate Finance 2003-04-01 2004-08-24
AHS264 LI Chi Lok 李志樂 RE Asset Management 2003-04-01 2004-08-24
AHS995 CHEUNG Pui Yuk, Christine 張佩玉 RE Dealing in Securities 2003-04-01 2007-12-31
AHS995 CHEUNG Pui Yuk, Christine 張佩玉 RE Advising on Securities 2003-04-01 2004-10-13
AHS995 CHEUNG Pui Yuk, Christine 張佩玉 RE Advising on Corporate Finance 2003-04-01 2004-05-13
AHS995 CHEUNG Pui Yuk, Christine 張佩玉 RE Asset Management 2003-04-01 2004-05-13
AIL153 GLOVER Stephen Craig RE Dealing in Securities 2004-01-28 2004-07-08
AIL153 GLOVER Stephen Craig RE Advising on Securities 2004-01-28 2004-07-08
AIQ483 TSE Tak Yee, Livia 謝德怡 RE Advising on Securities 2003-11-26 2004-08-11
AJB434 WONG Wing Hon 黃榮漢 RE Dealing in Securities 2003-08-05 2004-10-01
AJB434 WONG Wing Hon 黃榮漢 RE Advising on Securities 2003-08-05 2004-10-01
AJB434 WONG Wing Hon 黃榮漢 RE Asset Management 2003-08-05 2004-10-01
AJC134 PATERSON Andrew William RE Dealing in Securities 2003-09-24 2004-08-16
AJC134 PATERSON Andrew William RE Advising on Securities 2003-09-24 2004-08-16
AJC134 PATERSON Andrew William RE Asset Management 2003-09-24 2004-08-16
AJD814 HUTCHISON Neil Dominic RE Dealing in Securities 2003-11-28 2004-08-16
AJD814 HUTCHISON Neil Dominic RE Advising on Securities 2003-11-28 2004-08-16
AJD815 GRAHAM James Stephen RE Dealing in Securities 2003-11-05 2004-08-16
AJD815 GRAHAM James Stephen RE Dealing in Securities 2007-05-25 2007-12-31
AJD815 GRAHAM James Stephen RE Advising on Securities 2003-11-05 2004-08-16
AJD947 HOWAT Graham Charles RE Dealing in Securities 2003-11-04 2004-08-16
AJD947 HOWAT Graham Charles RE Advising on Securities 2003-11-04 2004-08-16
AJJ576 BAMBROUGH Joanna Keerson Amanda RE Dealing in Securities 2004-02-11 2005-05-18
AJJ576 BAMBROUGH Joanna Keerson Amanda RO Dealing in Securities 2005-05-18 2006-08-31
AJJ576 BAMBROUGH Joanna Keerson Amanda RE Advising on Securities 2004-02-11 2004-10-13
AJK781 HILTON Susan Philippa RE Dealing in Securities 2004-03-16 2004-07-08
AJK781 HILTON Susan Philippa RE Advising on Securities 2004-03-16 2004-07-08
AJL364 MELDRUM Marc Ian RE Dealing in Securities 2004-02-18 2004-07-08
AJL364 MELDRUM Marc Ian RE Advising on Securities 2004-02-18 2004-07-08
AJL733 WARD John Anthony RE Dealing in Securities 2004-02-18 2004-07-08
AJL733 WARD John Anthony RE Advising on Securities 2004-02-18 2004-07-08
AKP075 LUI Yuk Wai, Willy 雷玉威 RE Dealing in Securities 2004-05-10 2004-07-08
AKP075 LUI Yuk Wai, Willy 雷玉威 RE Advising on Securities 2004-05-10 2004-07-08
ALP874 ANDERSON Philip John RO Dealing in Securities 2005-05-18 2007-12-31
ANG596 CHEUNG Ming Wai 張明慧 RE Dealing in Securities 2006-05-19 2007-09-28

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