These are the licence-holders that were found for SFC licence institution ACI151 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 |
|---|---|---|---|---|---|---|
| AAG919 | CHU Tat Kwan | 朱達君 | RE | Dealing in Securities | 2004-10-05 | 2004-10-05 |
| AAG919 | CHU Tat Kwan | 朱達君 | RE | Dealing in Securities | 2004-11-09 | |
| AAG919 | CHU Tat Kwan | 朱達君 | RO | Dealing in Securities | 2003-04-01 | 2004-10-05 |
| AAG919 | CHU Tat Kwan | 朱達君 | RO | Advising on Securities | 2003-04-01 | 2004-10-05 |
| AAG919 | CHU Tat Kwan | 朱達君 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-10-05 |
| AAG919 | CHU Tat Kwan | 朱達君 | RO | Asset Management | 2003-04-01 | 2004-10-05 |
| AAH399 | KAM Wai Hing | 金蕙卿 | RO | Dealing in Securities | 2003-04-01 | |
| AAH399 | KAM Wai Hing | 金蕙卿 | RO | Advising on Securities | 2003-04-01 | 2004-11-15 |
| AAH399 | KAM Wai Hing | 金蕙卿 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-11-15 |
| AAH399 | KAM Wai Hing | 金蕙卿 | RO | Asset Management | 2003-04-01 | 2004-11-15 |
| AAH404 | CHU Tak Sing, Samuel | 朱德勝 | RO | Dealing in Securities | 2003-04-01 | |
| AAH404 | CHU Tak Sing, Samuel | 朱德勝 | RO | Advising on Securities | 2003-04-01 | 2004-11-15 |
| AAH404 | CHU Tak Sing, Samuel | 朱德勝 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-11-15 |
| AAH404 | CHU Tak Sing, Samuel | 朱德勝 | RO | Asset Management | 2003-04-01 | 2004-11-15 |
| AAY109 | CHU HO Sun Lin | 朱何新蓮 | RE | Dealing in Securities | 2004-10-05 | 2004-10-05 |
| AAY109 | CHU HO Sun Lin | 朱何新蓮 | RE | Dealing in Securities | 2004-11-08 | |
| AAY109 | CHU HO Sun Lin | 朱何新蓮 | RO | Dealing in Securities | 2003-04-01 | 2004-10-05 |
| AAY109 | CHU HO Sun Lin | 朱何新蓮 | RO | Advising on Securities | 2003-04-01 | 2004-10-05 |
| AAY109 | CHU HO Sun Lin | 朱何新蓮 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-10-05 |
| AAY109 | CHU HO Sun Lin | 朱何新蓮 | RO | Asset Management | 2003-04-01 | 2004-10-05 |
| AAY116 | CHU Raymond Tak Hing | 朱德興 | RE | Dealing in Securities | 2007-11-01 | 2009-04-21 |
| AAY116 | CHU Raymond Tak Hing | 朱德興 | RO | Dealing in Securities | 2003-04-01 | 2007-11-01 |
| AAY116 | CHU Raymond Tak Hing | 朱德興 | RO | Advising on Securities | 2003-04-01 | 2004-11-15 |
| AAY116 | CHU Raymond Tak Hing | 朱德興 | RO | Advising on Corporate Finance | 2003-04-01 | 2004-11-15 |
| AAY116 | CHU Raymond Tak Hing | 朱德興 | RO | Asset Management | 2003-04-01 | 2004-11-15 |
| ABQ167 | CHUNG Kwok Ching | 鍾國楨 | RE | Dealing in Securities | 2003-04-01 | 2005-10-31 |
| ABQ167 | CHUNG Kwok Ching | 鍾國楨 | RE | Advising on Securities | 2003-04-01 | 2004-10-11 |
| ABQ167 | CHUNG Kwok Ching | 鍾國楨 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-11 |
| ABQ167 | CHUNG Kwok Ching | 鍾國楨 | RE | Asset Management | 2003-04-01 | 2004-10-11 |
| ABY338 | LAI Kam Cheong | 賴錦昌 | RE | Dealing in Securities | 2003-04-01 | 2004-03-01 |
| ABY338 | LAI Kam Cheong | 賴錦昌 | RE | Advising on Securities | 2003-04-01 | 2004-03-01 |
| ABY338 | LAI Kam Cheong | 賴錦昌 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-01 |
| ABY338 | LAI Kam Cheong | 賴錦昌 | RE | Asset Management | 2003-04-01 | 2004-03-01 |
| ACD664 | CHAN Ming Yan | 陳洺胤 | RE | Dealing in Securities | 2003-04-01 | 2005-11-01 |
| ACD664 | CHAN Ming Yan | 陳洺胤 | RE | Advising on Securities | 2003-04-01 | 2004-10-07 |
| ACD664 | CHAN Ming Yan | 陳洺胤 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-07 |
| ACD664 | CHAN Ming Yan | 陳洺胤 | RE | Asset Management | 2003-04-01 | 2004-10-07 |
| ACI666 | CHU Denise Lee Chun | 朱莉真 | RE | Dealing in Securities | 2004-11-05 | 2011-12-31 |
| ACI667 | CHU Tak Keung, John | 朱德強 | RE | Dealing in Securities | 2003-04-01 | 2009-04-21 |
| ACI667 | CHU Tak Keung, John | 朱德強 | RE | Advising on Securities | 2003-04-01 | 2004-11-15 |
| ACI667 | CHU Tak Keung, John | 朱德強 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-11-15 |
| ACI667 | CHU Tak Keung, John | 朱德強 | RE | Asset Management | 2003-04-01 | 2004-11-15 |
| ACO271 | CHAN Pui Yee | 陳珮儀 | RE | Dealing in Securities | 2003-04-01 | |
| ACO271 | CHAN Pui Yee | 陳珮儀 | RE | Advising on Securities | 2003-04-01 | 2004-10-07 |
| ACO271 | CHAN Pui Yee | 陳珮儀 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-07 |
| ACO271 | CHAN Pui Yee | 陳珮儀 | RE | Asset Management | 2003-04-01 | 2004-10-07 |
| AEC781 | YEUNG Or Kin | 楊我堅 | RE | Dealing in Securities | 2003-04-01 | 2006-07-31 |
| AEC781 | YEUNG Or Kin | 楊我堅 | RE | Advising on Securities | 2003-04-01 | 2004-10-11 |
| AEC781 | YEUNG Or Kin | 楊我堅 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-11 |
| AEC781 | YEUNG Or Kin | 楊我堅 | RE | Asset Management | 2003-04-01 | 2004-10-11 |
| AEE581 | LEE Koon Wai | 李冠偉 | RE | Dealing in Securities | 2010-09-20 | |
| AEK517 | CHU Annie Chui Kuen | 朱翠娟 | RE | Dealing in Securities | 2003-04-01 | 2010-07-31 |
| AEK517 | CHU Annie Chui Kuen | 朱翠娟 | RE | Advising on Securities | 2003-04-01 | 2004-11-15 |
| AEK517 | CHU Annie Chui Kuen | 朱翠娟 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-11-15 |
| AEK517 | CHU Annie Chui Kuen | 朱翠娟 | RE | Asset Management | 2003-04-01 | 2004-11-15 |
| AEP032 | CHIU Wai Keung | 趙偉強 | RE | Dealing in Securities | 2003-04-01 | 2003-11-09 |
| AEP032 | CHIU Wai Keung | 趙偉強 | RE | Advising on Securities | 2003-04-01 | 2003-11-09 |
| AEP032 | CHIU Wai Keung | 趙偉強 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-11-09 |
| AEP032 | CHIU Wai Keung | 趙偉強 | RE | Asset Management | 2003-04-01 | 2003-11-09 |
| AEY146 | LAW Fong Sim | 羅晃嬋 | RE | Dealing in Securities | 2003-04-01 | |
| AEY146 | LAW Fong Sim | 羅晃嬋 | RE | Advising on Securities | 2003-04-01 | 2004-10-11 |
| AEY146 | LAW Fong Sim | 羅晃嬋 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-11 |
| AEY146 | LAW Fong Sim | 羅晃嬋 | RE | Asset Management | 2003-04-01 | 2004-10-11 |
| AFH636 | SO Sze Yin | 蘇芷妍 | RE | Dealing in Securities | 2003-04-01 | |
| AFH636 | SO Sze Yin | 蘇芷妍 | RE | Advising on Securities | 2003-04-01 | 2004-10-11 |
| AFH636 | SO Sze Yin | 蘇芷妍 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-11 |
| AFH636 | SO Sze Yin | 蘇芷妍 | RE | Asset Management | 2003-04-01 | 2004-10-11 |
| AFO868 | KAN Choi Mei | 簡彩媚 | RE | Dealing in Securities | 2003-04-01 | |
| AFO868 | KAN Choi Mei | 簡彩媚 | RE | Advising on Securities | 2003-04-01 | 2004-11-15 |
| AFO868 | KAN Choi Mei | 簡彩媚 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-11-15 |
| AFO868 | KAN Choi Mei | 簡彩媚 | RE | Asset Management | 2003-04-01 | 2004-11-15 |
| ALC023 | MA Kim Yin | 馬劍賢 | RE | Dealing in Securities | 2012-06-29 | |
| ALO625 | CHOI Tsz Lun | 蔡子麟 | RE | Dealing in Securities | 2005-12-05 | 2006-05-30 |
| ALS464 | LEE Yip Fung | 李業豐 | RE | Dealing in Securities | 2005-03-17 | 2005-08-29 |
| ALY263 | LEUNG Lai Yee | 梁麗儀 | RE | Dealing in Securities | 2005-05-20 | |
| ANF043 | TANG Siu Lung | 鄧兆龍 | RE | Dealing in Securities | 2006-05-02 | |
| ANV050 | YUEN Ka Leung | 袁家樑 | RE | Dealing in Securities | 2006-10-25 | 2007-07-21 |
| ATE912 | SHARE Ka Hei | 佘嘉晞 | RE | Dealing in Securities | 2009-08-10 | 2013-01-15 |
| ATH481 | TSANG Chiu Ching | 曾昭政 | RE | Dealing in Securities | 2009-08-10 | 2011-12-31 |
| ATI396 | LEUNG Chui Wa | 梁翠華 | RE | Dealing in Securities | 2009-08-13 | |
| ATO191 | LEUNG Wai Yu | 梁惠瑜 | RE | Dealing in Securities | 2009-08-31 | |
| BGD851 | CHAU Wai | 鄒偉 | RE | Dealing in Securities | 2015-11-11 | 2017-10-30 |
| BNG477 | TANG Lok Yan | 鄧樂欣 | RE | Dealing in Securities | 2018-08-27 |
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