Hong Kong SFC licence institution ACO507, SMBC Nikko Securities (Hong Kong) Limited

These are the licence-holders that were found for SFC licence institution ACO507 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
AAC760 CHAN Wai Lung 陳偉隆 RE Dealing in Securities 2003-04-01 2008-03-18
AAC760 CHAN Wai Lung 陳偉隆 RO Dealing in Securities 2008-03-18 2018-01-01
AAC760 CHAN Wai Lung 陳偉隆 RE Advising on Securities 2003-04-01 2003-06-24
AAC760 CHAN Wai Lung 陳偉隆 RE Advising on Securities 2006-03-17 2008-03-18
AAC760 CHAN Wai Lung 陳偉隆 RO Advising on Securities 2008-03-18 2018-01-01
AAC760 CHAN Wai Lung 陳偉隆 RE Advising on Corporate Finance 2003-04-01 2003-06-24
AAC760 CHAN Wai Lung 陳偉隆 RE Asset Management 2003-04-01 2003-06-24
AAE316 YUEN Man Yan 袁文茵 RE Dealing in Securities 2010-10-18 2011-03-18
AAE316 YUEN Man Yan 袁文茵 RO Dealing in Securities 2003-04-01 2010-10-18
AAE316 YUEN Man Yan 袁文茵 RE Advising on Securities 2010-10-18 2011-03-18
AAE316 YUEN Man Yan 袁文茵 RO Advising on Securities 2003-04-01 2010-10-18
AAE316 YUEN Man Yan 袁文茵 RO Advising on Corporate Finance 2003-04-01 2003-06-24
AAE316 YUEN Man Yan 袁文茵 RO Asset Management 2003-04-01 2010-10-18
AAE339 LAM Mei Kam, May 林美金 RE Dealing in Securities 2010-10-18 2011-03-18
AAE339 LAM Mei Kam, May 林美金 RO Dealing in Securities 2003-04-01 2010-10-18
AAE339 LAM Mei Kam, May 林美金 RE Advising on Securities 2010-10-18 2011-03-18
AAE339 LAM Mei Kam, May 林美金 RO Advising on Securities 2003-04-01 2010-10-18
AAE339 LAM Mei Kam, May 林美金 RO Advising on Corporate Finance 2003-04-01 2003-06-24
AAE339 LAM Mei Kam, May 林美金 RO Asset Management 2003-04-01 2010-10-18
AAE985 NG Po Yuen, Pauline 吳溥潤 RE Dealing in Securities 2006-04-03 2008-05-30
AAE985 NG Po Yuen, Pauline 吳溥潤 RE Advising on Securities 2006-06-08 2008-03-20
AAK013 CHAN Chi Leong 陳智亮 RO Dealing in Securities 2006-05-08 2010-10-18
AAK013 CHAN Chi Leong 陳智亮 RO Advising on Securities 2006-05-08 2010-10-18
AAK013 CHAN Chi Leong 陳智亮 RO Asset Management 2006-05-08 2010-10-19
AAV288 WU Tsz Yee 胡子宜 RE Dealing in Securities 2006-12-04 2007-10-02
AAV288 WU Tsz Yee 胡子宜 RE Advising on Securities 2006-12-04 2007-10-02
AAV288 WU Tsz Yee 胡子宜 RE Asset Management 2007-04-02 2007-10-02
ABI262 LU Ta-wen 陸大文 RO Dealing in Securities 2008-09-19 2008-11-28
ABI262 LU Ta-wen 陸大文 RO Advising on Securities 2008-09-19 2008-11-28
ABI262 LU Ta-wen 陸大文 RO Asset Management 2008-09-19 2008-11-28
ABW737 ZHANG Qiangang 張乾剛 RO Dealing in Securities 2012-05-31
ABW737 ZHANG Qiangang 張乾剛 RO Advising on Securities 2011-06-16
ACB305 MARUYAMA Masashi RO Dealing in Securities 2011-01-03 2012-10-22
ACB305 MARUYAMA Masashi RO Advising on Securities 2011-01-03 2012-10-22
ACJ263 ABE Hiromi RE Advising on Securities 2011-12-19 2012-09-28
ACL455 MIZUTANI Tatsumi 水谷竜美 RO Dealing in Securities 2017-11-16 2018-05-14
ACL455 MIZUTANI Tatsumi 水谷竜美 RO Dealing in Futures Contracts 2018-01-17 2018-05-14
ACL455 MIZUTANI Tatsumi 水谷竜美 RO Advising on Securities 2017-11-16 2018-05-14
ACL455 MIZUTANI Tatsumi 水谷竜美 RO Advising on Futures Contracts 2018-01-17 2018-05-14
ACL455 MIZUTANI Tatsumi 水谷竜美 RO Advising on Corporate Finance 2017-11-16 2018-05-14
ACS410 YIP Shui Key 葉紹基 RO Dealing in Securities 2004-08-11 2005-11-18
ACS410 YIP Shui Key 葉紹基 RO Advising on Securities 2004-08-11 2005-11-18
ACS410 YIP Shui Key 葉紹基 RO Asset Management 2004-08-11 2005-11-18
ACU384 CHAN Wai Ling, Maureen 陳慧玲 RE Dealing in Securities 2004-04-27 2011-03-18
ACU384 CHAN Wai Ling, Maureen 陳慧玲 RE Advising on Securities 2007-03-20 2011-03-18
ACX305 CHEUNG Yui Kai, Warren 張睿佳 RE Dealing in Securities 2011-04-08 2011-11-01
ADI418 TANG Wai Hung 鄧偉雄 RE Dealing in Securities 2015-09-15 2016-03-04
ADI418 TANG Wai Hung 鄧偉雄 RO Dealing in Securities 2016-03-04
ADI418 TANG Wai Hung 鄧偉雄 RE Advising on Securities 2015-09-15 2016-03-04
ADI418 TANG Wai Hung 鄧偉雄 RO Advising on Securities 2016-03-04
ADI418 TANG Wai Hung 鄧偉雄 RE Advising on Corporate Finance 2015-09-15
ADN019 WONG Man San, Benny 黃文山 RE Advising on Securities 2003-07-24 2004-02-17
ADT598 FOO King Wah 符敬華 RE Dealing in Securities 2003-04-01 2003-06-24
ADT598 FOO King Wah 符敬華 RE Advising on Securities 2003-04-01 2004-06-30
ADT598 FOO King Wah 符敬華 RE Advising on Corporate Finance 2003-04-01 2003-06-24
ADT598 FOO King Wah 符敬華 RE Asset Management 2003-04-01 2003-06-24
ADZ296 CHANG Ioi Tim 曾銳添 RE Dealing in Securities 2014-10-06 2015-02-04
ADZ296 CHANG Ioi Tim 曾銳添 RO Dealing in Securities 2015-02-04 2018-07-20
ADZ296 CHANG Ioi Tim 曾銳添 RE Advising on Securities 2014-10-06 2015-02-04
ADZ296 CHANG Ioi Tim 曾銳添 RO Advising on Securities 2015-02-04 2018-07-20
AEI662 O'BOYLE Gerald Keith RE Dealing in Securities 2013-10-21 2014-12-03
AEI662 O'BOYLE Gerald Keith RE Advising on Securities 2013-10-21 2014-12-03
AEJ844 CHEN Yuan 陳遠 RE Dealing in Securities 2006-04-10 2006-04-21
AEJ844 CHEN Yuan 陳遠 RE Advising on Securities 2006-04-10 2006-04-21
AEK747 IP Wai Lun, William 葉偉倫 RO Dealing in Securities 2012-09-19
AEK747 IP Wai Lun, William 葉偉倫 RO Advising on Securities 2012-09-19
AEK747 IP Wai Lun, William 葉偉倫 RO Advising on Corporate Finance 2012-07-20
AFI890 MAN Kon Sum 文幹森 RE Advising on Securities 2004-10-15 2005-07-08
AFK707 KATO Mayumi 加藤真由美 RE Dealing in Securities 2012-07-18
AFK707 KATO Mayumi 加藤真由美 RE Dealing in Futures Contracts 2018-01-05
AFK707 KATO Mayumi 加藤真由美 RE Advising on Securities 2014-04-17
AFK707 KATO Mayumi 加藤真由美 RE Advising on Futures Contracts 2018-01-05
AGA425 YING Hak Kai 應克佳 RE Dealing in Securities 2010-12-28 2014-11-11
AGA425 YING Hak Kai 應克佳 RE Advising on Securities 2013-05-06 2014-11-11
AGG658 CHEUNG Frances 張淑嫻 RE Advising on Securities 2003-07-30 2005-10-05
AGH264 HILL Trevor Aaron RE Dealing in Securities 2014-06-20
AGL185 FOK Tse Hang, Allan 霍子恒 RE Dealing in Securities 2012-09-14
AGL185 FOK Tse Hang, Allan 霍子恒 RE Advising on Securities 2011-03-28 2012-09-19
AGL185 FOK Tse Hang, Allan 霍子恒 RO Advising on Securities 2012-09-19
AGL185 FOK Tse Hang, Allan 霍子恒 RO Advising on Corporate Finance 2012-07-20
AGW561 SIU Pui Kay, Ruby 蕭珮琪 RE Dealing in Securities 2014-06-30 2014-10-24
AGW561 SIU Pui Kay, Ruby 蕭珮琪 RO Dealing in Securities 2014-10-24 2018-10-28
AGW561 SIU Pui Kay, Ruby 蕭珮琪 RE Advising on Securities 2018-06-25 2018-10-28
AHO649 LIU Shuang 劉爽 RE Dealing in Securities 2006-12-01 2007-11-11
AHO649 LIU Shuang 劉爽 RE Advising on Securities 2007-02-09 2007-11-11
AHO649 LIU Shuang 劉爽 RE Asset Management 2007-05-10 2007-11-11
AIC463 YEUNG Lai Wing, Kent 楊禮榮 RE Advising on Securities 2004-08-17 2005-02-08
AIZ256 BERRISFORD Carl Thomas RE Dealing in Securities 2004-03-16 2004-05-04
AJB565 KWAN Chi Hong 關志康 RE Advising on Securities 2003-08-13 2004-04-08
AJI380 SAMPSON Machiko RE Dealing in Securities 2011-04-26 2018-10-11
AJI380 SAMPSON Machiko RO Dealing in Securities 2018-10-11
AJI380 SAMPSON Machiko RE Dealing in Futures Contracts 2018-01-16
AJI380 SAMPSON Machiko RE Advising on Securities 2013-05-06 2018-10-11
AJI380 SAMPSON Machiko RO Advising on Securities 2018-10-11
AJI380 SAMPSON Machiko RE Advising on Futures Contracts 2018-01-16
AJM207 YONTS Charles Anthony RE Dealing in Securities 2004-04-01 2004-10-18
AJO361 PERVEZ Ahsan RE Dealing in Securities 2015-06-01 2017-07-06
AJO361 PERVEZ Ahsan RE Dealing in Securities 2018-03-01 2018-03-24
AJO361 PERVEZ Ahsan RE Dealing in Securities 2018-06-07 2018-06-22
AJO361 PERVEZ Ahsan RE Advising on Securities 2015-06-01 2017-07-06
AJO361 PERVEZ Ahsan RE Advising on Securities 2018-03-01 2018-03-24
AJO361 PERVEZ Ahsan RE Advising on Securities 2018-06-07 2018-06-22
AKN225 LI Zhenyu 李震宇 RE Dealing in Securities 2017-11-06
AKN225 LI Zhenyu 李震宇 RE Dealing in Futures Contracts 2017-12-07
ALG206 LEUNG Chun Shing 梁俊成 RE Dealing in Securities 2004-11-12 2007-09-15
ALG206 LEUNG Chun Shing 梁俊成 RE Advising on Securities 2004-11-12 2007-09-15
ALG206 LEUNG Chun Shing 梁俊成 RE Asset Management 2004-11-12 2007-09-15
ALQ881 HIRAOKA Emiko RE Dealing in Securities 2012-02-10 2016-09-23
AMJ300 YE Mingyuan 叶鳴遠 RE Dealing in Securities 2017-11-02 2018-05-07
AMJ300 YE Mingyuan 叶鳴遠 RO Dealing in Securities 2018-05-07
AMJ300 YE Mingyuan 叶鳴遠 RE Advising on Securities 2017-11-02
AMK236 CHAN Kwok Fung, Dennis 陳國峰 RE Dealing in Securities 2014-01-14
AMK236 CHAN Kwok Fung, Dennis 陳國峰 RE Advising on Securities 2014-01-14
AMK236 CHAN Kwok Fung, Dennis 陳國峰 RE Advising on Corporate Finance 2014-01-14
AML646 LEE Jiin Yih 李謹亦 RE Advising on Securities 2005-11-04 2007-09-11
AMR825 LIN Ka Ho 連嘉豪 RE Advising on Securities 2005-12-29 2007-12-13
AMW555 YU Hoi Kit 余凱傑 RE Advising on Securities 2006-02-16 2006-03-03
AMZ965 MAN Ho Kit, Sunny 文浩傑 RE Advising on Securities 2006-03-07 2006-10-20
ANA716 CHOI Chun Fat, Anderson 蔡俊發 RE Dealing in Securities 2011-06-28 2017-12-22
ANA716 CHOI Chun Fat, Anderson 蔡俊發 RO Dealing in Securities 2017-12-22 2018-07-11
ANA716 CHOI Chun Fat, Anderson 蔡俊發 RE Dealing in Futures Contracts 2017-12-22 2018-07-11
ANA716 CHOI Chun Fat, Anderson 蔡俊發 RE Advising on Securities 2011-06-28 2017-12-22
ANA716 CHOI Chun Fat, Anderson 蔡俊發 RO Advising on Securities 2017-12-22 2018-07-11
ANA716 CHOI Chun Fat, Anderson 蔡俊發 RE Advising on Futures Contracts 2017-12-22 2018-07-11
ANH163 LUI Kwan Ho 呂君皓 RE Advising on Securities 2007-12-19 2008-10-17
ANM042 NG Choi Lun 吳采倫 RE Dealing in Securities 2011-07-05 2014-01-26
ANM042 NG Choi Lun 吳采倫 RE Advising on Securities 2013-06-04 2014-01-26
ANS087 SATO Hiromi 佐藤弘美 RO Dealing in Securities 2007-01-18 2012-06-29
ANS087 SATO Hiromi 佐藤弘美 RO Advising on Securities 2007-01-18 2012-06-29
ANS087 SATO Hiromi 佐藤弘美 RO Asset Management 2007-01-18 2010-10-19
ANU240 FUJISAKI Koa 藤崎小亞 RE Dealing in Securities 2017-07-21
ANU240 FUJISAKI Koa 藤崎小亞 RE Dealing in Futures Contracts 2018-05-29
ANU240 FUJISAKI Koa 藤崎小亞 RE Advising on Securities 2017-07-21
ANU240 FUJISAKI Koa 藤崎小亞 RE Advising on Futures Contracts 2018-05-29
AOT558 LOUEY Cynthia Petrina 雷麗儀 RE Advising on Securities 2007-05-30 2009-04-08
AOT598 TU Chia-le Carol RE Dealing in Securities 2007-06-20 2009-03-06
AOT598 TU Chia-le Carol RE Advising on Securities 2007-06-20 2009-03-06
AOT598 TU Chia-le Carol RE Asset Management 2007-06-20 2009-03-06
AOY533 CHAN Soo Sum 陳素心 RE Dealing in Securities 2011-01-13 2013-09-27
APB534 COOK Geoffrey John RE Dealing in Securities 2017-01-26 2017-07-31
APD602 SURENKOK Inci Irmak RE Advising on Securities 2007-06-26 2007-07-30
APL478 TAM Ming Yan 譚銘忺 RE Dealing in Securities 2014-12-12
APS569 ARYA Parth RE Dealing in Securities 2017-12-13
APS569 ARYA Parth RE Advising on Securities 2017-12-13
APS569 ARYA Parth RE Advising on Corporate Finance 2017-12-13
APW801 TSIM Hon Keung 詹漢強 RE Advising on Securities 2007-12-20 2008-12-05
AQN414 HONDA Miwa 本田美和 RE Dealing in Securities 2011-07-11
AQN414 HONDA Miwa 本田美和 RE Advising on Securities 2008-03-17
ARA418 TSUTSUMI Kazumasa 堤一將 RE Dealing in Securities 2012-10-29 2014-02-06
ASU015 LOK Colin Wai Hung 駱偉雄 RE Dealing in Securities 2014-02-13 2017-10-27
ASU015 LOK Colin Wai Hung 駱偉雄 RE Advising on Securities 2014-03-03 2017-10-27
ASU202 VAN GULIK Robert Ken RE Dealing in Securities 2011-01-19 2015-08-31
ASU202 VAN GULIK Robert Ken RE Advising on Securities 2011-01-19 2015-08-31
ATI680 TANG Tsz Yan Janice 鄧子欣 RE Dealing in Securities 2014-02-17
ATI680 TANG Tsz Yan Janice 鄧子欣 RE Advising on Securities 2014-01-29
AVY319 NAKAUCHI Kozue 仲內梢 RE Dealing in Securities 2011-06-07 2011-09-06
AWF626 TRUELOVE Keith Alan RE Dealing in Securities 2016-02-23 2017-11-16
AWF626 TRUELOVE Keith Alan RE Advising on Securities 2016-02-23 2017-11-16
AWK856 KOGA Akira 古賀彰 RO Dealing in Securities 2011-01-03 2013-03-30
AWK856 KOGA Akira 古賀彰 RO Advising on Securities 2011-01-03 2013-03-30
AWK856 KOGA Akira 古賀彰 RO Advising on Corporate Finance 2012-07-20 2013-03-30
AWL052 TAI Kit Han 戴潔嫻 RE Dealing in Securities 2011-01-07 2014-08-25
AWL052 TAI Kit Han 戴潔嫻 RE Advising on Securities 2012-10-15 2014-08-25
AWY707 TADA Emiko RE Dealing in Securities 2011-04-29
AWY707 TADA Emiko RE Advising on Securities 2011-04-29
AXE045 SUZUKI Kiyoko 鈴木清子 RE Dealing in Securities 2011-04-21
AXG564 CHENG Teng Fong, Keith 鄭廷峰 RE Dealing in Securities 2011-05-09 2011-06-28
AXG564 CHENG Teng Fong, Keith 鄭廷峰 RE Advising on Securities 2011-05-09 2011-06-28
AXI124 TATEISHI Tsuyoshi 立石剛史 RE Dealing in Securities 2011-06-28 2012-06-29
AXI124 TATEISHI Tsuyoshi 立石剛史 RE Advising on Securities 2011-06-28 2012-06-29
AXI125 YOSHIKAWA Tatsuhiro 吉川龍拓 RE Dealing in Securities 2011-06-28 2015-04-01
AXI125 YOSHIKAWA Tatsuhiro 吉川龍拓 RE Advising on Securities 2011-06-28 2015-04-01
AXK444 YEUNG Pui Yam 楊培欽 RE Advising on Securities 2011-06-13 2012-07-25
AXK580 ZHANG Yang 張揚 RE Dealing in Securities 2012-10-12 2014-09-17
AXK580 ZHANG Yang 張揚 RE Advising on Securities 2011-06-13 2014-09-17
AXK860 XU Rui 徐睿 RE Advising on Securities 2011-06-16 2012-12-31
AXL490 YASUDA Tairyu 安田太龍 RE Dealing in Securities 2011-08-01 2012-03-30
AXL490 YASUDA Tairyu 安田太龍 RE Advising on Securities 2011-08-01 2012-03-30
AXL520 MORII Fumihide 守井文英 RE Dealing in Securities 2011-07-21 2012-03-30
AXL520 MORII Fumihide 守井文英 RE Advising on Securities 2011-07-21 2012-03-30
AXN884 ABE Takahiro 阿部考浩 RE Dealing in Securities 2011-08-01 2012-03-31
AXO657 YAMAMOTO Hideki 山本秀樹 RE Dealing in Securities 2011-07-08 2012-04-26
AXO657 YAMAMOTO Hideki 山本秀樹 RO Dealing in Securities 2012-04-26
AXO657 YAMAMOTO Hideki 山本秀樹 RE Advising on Securities 2011-07-08 2012-04-26
AXO657 YAMAMOTO Hideki 山本秀樹 RO Advising on Securities 2012-04-26
AXP786 KE Tak Lai 紀德禮 RE Dealing in Securities 2018-11-02
AXP786 KE Tak Lai 紀德禮 RE Advising on Securities 2018-11-02
AXS569 NG Kathy Ka Wai 伍家慧 RE Dealing in Securities 2018-05-02
AXS569 NG Kathy Ka Wai 伍家慧 RE Advising on Securities 2018-05-21
AYF489 WONG Chin Hung 黃展鴻 RE Dealing in Securities 2011-10-26 2012-12-21
AYF489 WONG Chin Hung 黃展鴻 RE Advising on Securities 2011-10-26 2012-12-21
AYF489 WONG Chin Hung 黃展鴻 RE Advising on Corporate Finance 2012-07-21 2012-12-21
AYG572 YAMAGAMI Shinichiro RE Dealing in Securities 2018-01-15 2018-05-08
AYG572 YAMAGAMI Shinichiro RO Dealing in Securities 2018-05-08
AYG572 YAMAGAMI Shinichiro RE Dealing in Futures Contracts 2018-01-15 2018-05-08
AYG572 YAMAGAMI Shinichiro RO Dealing in Futures Contracts 2018-05-08
AYG572 YAMAGAMI Shinichiro RE Advising on Securities 2018-01-15 2018-05-08
AYG572 YAMAGAMI Shinichiro RO Advising on Securities 2018-05-08
AYG572 YAMAGAMI Shinichiro RE Advising on Futures Contracts 2018-01-15 2018-05-08
AYG572 YAMAGAMI Shinichiro RO Advising on Futures Contracts 2018-05-08
AYM566 HORII Yuko 堀井優子 RE Dealing in Securities 2012-09-21 2013-12-30
AYM566 HORII Yuko 堀井優子 RE Advising on Securities 2011-12-19 2013-12-30
AZB698 ZHANG Ruiyue 張瑞玥 RE Dealing in Securities 2014-04-02 2016-01-22
AZB698 ZHANG Ruiyue 張瑞玥 RE Advising on Securities 2014-04-16 2016-01-22
AZC333 ZHANG Sensen 張森森 RE Dealing in Securities 2012-03-19 2013-04-14
AZC333 ZHANG Sensen 張森森 RE Advising on Securities 2012-03-19 2013-04-14
AZI956 NOGUCHI Kenji RO Dealing in Securities 2012-10-12
AZI956 NOGUCHI Kenji RO Advising on Securities 2012-10-12
AZI956 NOGUCHI Kenji RO Advising on Corporate Finance 2012-07-20
AZI957 TAMURA Hitoshi 田村仁志 RO Dealing in Securities 2012-06-01 2016-06-30
AZI957 TAMURA Hitoshi 田村仁志 RO Advising on Securities 2012-06-01 2016-06-30
AZK069 YOSHIKAWA Ryosuke RE Dealing in Securities 2012-05-22 2013-03-29
AZK069 YOSHIKAWA Ryosuke RE Advising on Securities 2012-05-22 2013-03-29
AZK069 YOSHIKAWA Ryosuke RE Advising on Corporate Finance 2012-07-21 2013-03-29
AZO563 KOBAYASHI Shin RE Dealing in Securities 2012-06-28 2014-04-07
AZO563 KOBAYASHI Shin RE Advising on Securities 2012-06-28 2014-04-07
AZQ054 ISOTANI Kengo RE Dealing in Securities 2012-07-04 2013-04-03
AZQ054 ISOTANI Kengo RE Advising on Securities 2012-07-04 2013-04-03
BAB338 ZHENG Zhonghui 鄭鍾慧 RE Dealing in Securities 2012-09-17
BAB338 ZHENG Zhonghui 鄭鍾慧 RE Advising on Securities 2012-09-17
BAI839 LAM King Sau 林勁秀 RE Dealing in Securities 2017-08-10
BAI839 LAM King Sau 林勁秀 RE Advising on Securities 2017-08-10
BAI839 LAM King Sau 林勁秀 RE Advising on Corporate Finance 2017-08-10
BAJ167 ANADA Takashi 穴田孝史 RE Dealing in Securities 2012-11-21 2013-10-07
BAJ167 ANADA Takashi 穴田孝史 RE Advising on Securities 2012-11-21 2013-10-07
BAJ594 USHIJIMA Shinsuke 牛島真丞 RO Dealing in Securities 2012-12-27 2014-03-26
BAJ594 USHIJIMA Shinsuke 牛島真丞 RO Advising on Securities 2012-12-27 2014-03-26
BAV890 BAINBRIDGE James William RE Dealing in Securities 2017-10-24 2017-11-23
BAV890 BAINBRIDGE James William RE Advising on Securities 2017-10-24 2017-11-23
BAX003 CARRIGAN Nicholas RE Dealing in Securities 2014-06-20 2018-08-31
BAY184 ZHU Roujia 朱柔嘉 RE Dealing in Securities 2016-03-17
BAY184 ZHU Roujia 朱柔嘉 RE Advising on Securities 2016-03-17
BBC953 CHUNG Ka Yin 鍾嘉彥 RE Dealing in Securities 2013-05-10 2015-08-10
BBC953 CHUNG Ka Yin 鍾嘉彥 RE Advising on Securities 2013-05-10 2015-08-10
BBC953 CHUNG Ka Yin 鍾嘉彥 RE Advising on Corporate Finance 2013-05-10 2015-08-10
BBJ611 SAKAI Michinari 坂井道成 RE Dealing in Securities 2013-07-03 2014-04-07
BBJ611 SAKAI Michinari 坂井道成 RE Advising on Securities 2013-07-03 2014-04-07
BBJ611 SAKAI Michinari 坂井道成 RE Advising on Corporate Finance 2013-07-03 2014-04-07
BCH701 HASHIMOTO Kazunari RE Dealing in Securities 2013-12-18
BCH701 HASHIMOTO Kazunari RE Advising on Securities 2013-12-18
BDC123 NAKA Kazuhito 那珂和人 RE Dealing in Securities 2014-03-10 2014-07-25
BDC123 NAKA Kazuhito 那珂和人 RO Dealing in Securities 2014-07-25
BDC123 NAKA Kazuhito 那珂和人 RO Dealing in Futures Contracts 2017-11-07
BDC123 NAKA Kazuhito 那珂和人 RE Advising on Securities 2014-03-10 2014-07-25
BDC123 NAKA Kazuhito 那珂和人 RO Advising on Securities 2014-07-25
BDC123 NAKA Kazuhito 那珂和人 RO Advising on Futures Contracts 2017-11-07
BDC539 HO Hiu Kwan 何曉筠 RE Dealing in Securities 2014-08-18
BDC539 HO Hiu Kwan 何曉筠 RE Advising on Securities 2014-08-18
BDR563 HIGASHIO Aya 東尾彩 RE Dealing in Securities 2014-07-29 2016-08-05
BDR563 HIGASHIO Aya 東尾彩 RE Advising on Securities 2014-07-29 2016-08-05
BDR859 BHAGAVATH Sunil Sudhakar RE Dealing in Securities 2014-07-07
BDR859 BHAGAVATH Sunil Sudhakar RE Dealing in Futures Contracts 2017-12-22
BDR859 BHAGAVATH Sunil Sudhakar RE Advising on Securities 2014-07-07
BDR859 BHAGAVATH Sunil Sudhakar RE Advising on Futures Contracts 2017-12-22
BDU344 OHNUMA Kenta RE Dealing in Securities 2014-07-18 2015-04-01
BDU344 OHNUMA Kenta RE Advising on Securities 2014-07-18 2015-04-01
BDU344 OHNUMA Kenta RE Advising on Corporate Finance 2014-07-18 2015-04-01
BEM202 WONG Kwan Ting 黃君婷 RE Dealing in Securities 2014-11-17
BEM202 WONG Kwan Ting 黃君婷 RE Advising on Securities 2014-11-17
BEW941 CHUNG Yat Kit, Thomas 鍾逸傑 RE Dealing in Securities 2018-05-28
BEW941 CHUNG Yat Kit, Thomas 鍾逸傑 RE Dealing in Futures Contracts 2018-05-28
BEW941 CHUNG Yat Kit, Thomas 鍾逸傑 RE Advising on Securities 2018-05-28
BEW941 CHUNG Yat Kit, Thomas 鍾逸傑 RE Advising on Futures Contracts 2018-05-28
BFH179 HOROTA Tsuyoshi RE Dealing in Securities 2015-05-06 2015-05-15
BFH179 HOROTA Tsuyoshi RE Advising on Securities 2015-05-06 2015-05-15
BFV016 MITSUI Akira RE Dealing in Securities 2015-07-14
BFV016 MITSUI Akira RE Advising on Securities 2015-07-14
BGA457 CHUNG Hoh RE Dealing in Securities 2015-08-17
BGA457 CHUNG Hoh RE Advising on Securities 2015-08-17
BGA457 CHUNG Hoh RE Advising on Corporate Finance 2016-06-22
BGD194 LUI June Yi Vivian 呂俊儀 RE Dealing in Securities 2018-09-19
BGD194 LUI June Yi Vivian 呂俊儀 RE Advising on Securities 2018-09-19
BGD215 HUANG Ho Pin 黃禾蘋 RE Dealing in Securities 2018-11-30
BGD499 MOCHIZUKI Yuki 望月優樹 RE Dealing in Securities 2015-09-02
BGD499 MOCHIZUKI Yuki 望月優樹 RE Advising on Securities 2015-09-02
BGD499 MOCHIZUKI Yuki 望月優樹 RE Advising on Corporate Finance 2016-06-22
BGM560 SHIMAMOTO Arisa 嶌本有紗 RE Dealing in Securities 2015-11-16
BGM560 SHIMAMOTO Arisa 嶌本有紗 RE Dealing in Futures Contracts 2017-12-22
BGM560 SHIMAMOTO Arisa 嶌本有紗 RE Advising on Securities 2015-11-16
BGM560 SHIMAMOTO Arisa 嶌本有紗 RE Advising on Futures Contracts 2017-12-22
BGU411 CHAN Ching Han 陳靜嫻 RE Dealing in Securities 2016-01-12
BGU411 CHAN Ching Han 陳靜嫻 RE Advising on Securities 2016-01-12
BHD511 FUKUSHIMA Hiroyuki RE Dealing in Securities 2016-04-01 2016-06-22
BHD511 FUKUSHIMA Hiroyuki RO Dealing in Securities 2016-06-22
BHD511 FUKUSHIMA Hiroyuki RO Dealing in Futures Contracts 2017-11-07
BHD511 FUKUSHIMA Hiroyuki RE Advising on Securities 2016-04-01 2016-06-22
BHD511 FUKUSHIMA Hiroyuki RO Advising on Securities 2016-06-22
BHD511 FUKUSHIMA Hiroyuki RO Advising on Futures Contracts 2017-11-07
BHI004 LEUNG Shu Tung 梁樹彤 RE Dealing in Securities 2016-05-18 2017-12-28
BHI004 LEUNG Shu Tung 梁樹彤 RE Advising on Securities 2016-05-18 2017-12-28
BHI004 LEUNG Shu Tung 梁樹彤 RE Advising on Corporate Finance 2016-05-18 2017-12-28
BHK210 WU Yu Han 吳宇涵 RE Dealing in Securities 2016-05-03 2016-05-13
BHK210 WU Yu Han 吳宇涵 RE Advising on Securities 2016-05-03 2016-05-13
BIY029 ZHANG Ruizhi 張銳之 RE Dealing in Securities 2017-10-27
BIY029 ZHANG Ruizhi 張銳之 RE Advising on Securities 2017-12-13
BIY639 YU Maggie H W 余曉樺 RE Dealing in Securities 2017-01-23 2017-11-14
BIY639 YU Maggie H W 余曉樺 RE Advising on Securities 2017-01-23 2017-11-14
BJD212 YEH Man Hsuan 葉蔓萱 RE Dealing in Securities 2018-01-11
BJD212 YEH Man Hsuan 葉蔓萱 RE Advising on Securities 2018-02-21
BKC619 XU Guang 徐光 RE Dealing in Securities 2018-10-16
BKC619 XU Guang 徐光 RE Advising on Securities 2018-10-16
BKM785 CHO Taejung RE Dealing in Securities 2017-08-16
BKM785 CHO Taejung RE Advising on Securities 2017-08-16
BLZ829 LAI Seng Long 黎星龍 RE Dealing in Securities 2018-01-15 2018-07-17
BLZ829 LAI Seng Long 黎星龍 RE Advising on Securities 2018-01-15 2018-07-17
BLZ829 LAI Seng Long 黎星龍 RE Advising on Corporate Finance 2018-01-15 2018-07-17
BMM364 LONG Lydia Soong Leng RE Dealing in Securities 2018-03-06 2018-10-10
BMM364 LONG Lydia Soong Leng RE Advising on Securities 2018-03-06 2018-10-10
BMM382 ZHANG Xuyan 張旭妍 RE Dealing in Securities 2018-03-06
BMM382 ZHANG Xuyan 張旭妍 RE Advising on Securities 2018-03-06
BMP059 FURUTA Taketora 古田竹虎 RE Dealing in Securities 2018-04-18
BMV420 WYATT Andrew William RE Dealing in Securities 2018-05-07
BMV420 WYATT Andrew William RE Dealing in Futures Contracts 2018-05-07
BMV420 WYATT Andrew William RE Advising on Securities 2018-05-07
BMV420 WYATT Andrew William RE Advising on Futures Contracts 2018-05-07
BMV945 YASUI Katsuhiko 安井克彥 RO Dealing in Securities 2018-06-12
BMV945 YASUI Katsuhiko 安井克彥 RO Dealing in Futures Contracts 2018-06-12
BMV945 YASUI Katsuhiko 安井克彥 RO Advising on Securities 2018-06-12
BMV945 YASUI Katsuhiko 安井克彥 RO Advising on Futures Contracts 2018-06-12
BMV945 YASUI Katsuhiko 安井克彥 RO Advising on Corporate Finance 2018-06-12
BMY321 KUDO Kento 工藤憲人 RE Dealing in Securities 2018-05-28
BMY321 KUDO Kento 工藤憲人 RE Dealing in Futures Contracts 2018-05-28
BMY321 KUDO Kento 工藤憲人 RE Advising on Securities 2018-05-28
BMY321 KUDO Kento 工藤憲人 RE Advising on Futures Contracts 2018-05-28
BND276 NAKABACHI Aya RE Dealing in Securities 2018-07-03
BND276 NAKABACHI Aya RE Advising on Securities 2018-07-03
BND276 NAKABACHI Aya RE Advising on Corporate Finance 2018-07-03
BNE636 TSE Pui Yi 謝佩宜 RE Dealing in Securities 2018-07-09
BNE636 TSE Pui Yi 謝佩宜 RE Advising on Securities 2018-07-09
BNE636 TSE Pui Yi 謝佩宜 RE Advising on Corporate Finance 2018-07-09
BNN541 KANG Seung Yeon 姜升延 RE Dealing in Securities 2018-09-06
BNN541 KANG Seung Yeon 姜升延 RE Advising on Securities 2018-09-06

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