Hong Kong SFC licence institution ACO807, Northern Trust Company of Hong Kong Limited, The

These are the licence-holders that were found for SFC licence institution ACO807 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
ACO808 BENTSEN Richard Boldt RO Dealing in Securities 2003-04-01 2003-06-20
ACO810 TIMPANY David Allan RO Dealing in Securities 2003-04-01 2005-01-31
ADT113 CHAI Pui Pui, Pamela 蔡蓓蓓 RE Dealing in Securities 2003-04-01 2007-04-18
AEY695 TENUTA Joseph Anthony RE Dealing in Securities 2011-06-01 2011-07-01
AEY695 TENUTA Joseph Anthony RE Dealing in Securities 2011-09-19 2011-09-30
AEY695 TENUTA Joseph Anthony RE Dealing in Securities 2014-08-18 2014-09-26
AFE410 FARQUHAR Yumi RO Dealing in Securities 2003-04-01 2011-10-31
AFG722 TING Fifi 丁美翡 RE Dealing in Securities 2009-12-10 2011-06-10
AFI797 TSUI Wai Ying, Jintz 徐惠盈 RE Dealing in Securities 2003-04-01 2007-09-07
AFJ430 TUNG Tsit Shan 董哲珊 RE Dealing in Securities 2011-11-28 2012-09-11
AFJ430 TUNG Tsit Shan 董哲珊 RO Dealing in Securities 2012-09-11
AFT602 AU Kin Wah, Lawrence 區建華 RO Dealing in Securities 2003-04-01 2010-03-25
AFU893 CHARK Chi Wing, Alexis 翟志榮 RE Dealing in Securities 2003-04-01 2006-10-25
AFY865 CHOW Man 周敏 RE Dealing in Securities 2012-02-08 2015-07-03
AGL948 CHEUNG Meng Chu 張孟珠 RE Dealing in Securities 2003-04-01 2004-11-23
AGU676 LO Bun, Robin 盧斌 RE Dealing in Securities 2006-02-03 2007-08-31
AIJ824 LAM Ka Wai 林嘉蕙 RE Dealing in Securities 2008-04-07 2010-11-19
AIZ701 LEUNG Kwok Ming 梁國明 RE Dealing in Securities 2003-06-02 2007-02-27
AIZ701 LEUNG Kwok Ming 梁國明 RO Dealing in Securities 2007-02-27 2008-07-18
AJB217 LAU Cheuk Hang, Samuel 劉卓鏗 RE Dealing in Securities 2003-07-30 2006-12-11
AJH146 TEE Tsun Chiek 鄭俊傑 RO Dealing in Securities 2004-03-19 2004-12-01
ALD505 KRATZ Bo Rolf Anders RE Dealing in Securities 2012-11-29 2013-02-28
ALD505 KRATZ Bo Rolf Anders RO Dealing in Securities 2013-02-28 2015-12-05
ALD505 KRATZ Bo Rolf Anders RO Dealing in Futures Contracts 2013-12-05 2015-12-05
ALD505 KRATZ Bo Rolf Anders RO Asset Management 2013-12-05 2015-12-05
ALO241 DASWANI Sunil Prem RE Dealing in Securities 2008-10-06 2017-04-11
ALO241 DASWANI Sunil Prem RO Dealing in Securities 2005-03-19 2008-10-06
ALO241 DASWANI Sunil Prem RO Dealing in Securities 2017-04-11 2017-11-29
ALS688 YEUNG Yuen Kei, Doris 楊婉琪 RE Dealing in Securities 2005-03-15 2005-07-14
ALT836 BENZMILLER Thomas Robert RE Dealing in Securities 2008-10-06 2014-05-23
ALT836 BENZMILLER Thomas Robert RO Dealing in Securities 2005-04-27 2008-10-06
AMC287 FONSEKA Janaki Marina RE Dealing in Securities 2005-07-07 2008-04-30
AME183 LEE Katherine Kar Pui 李嘉珮 RE Dealing in Securities 2005-07-19
AME189 MAN Kit Ping Bibianna 文潔萍 RE Dealing in Securities 2005-07-19 2007-08-15
AMF155 EARNSHAW Charles Anthony RE Dealing in Securities 2005-10-03 2007-09-18
AMF977 HO Siu Yung, Ada 何少容 RE Dealing in Securities 2005-08-31 2009-11-06
AMJ616 MATTURRI JR Alexander James RE Dealing in Securities 2005-10-12 2006-11-21
AMJ626 PEREIRA REBELO Bertelino RE Dealing in Securities 2005-10-10 2007-11-18
AMJ626 PEREIRA REBELO Bertelino RE Dealing in Securities 2008-11-26 2013-01-07
AMJ626 PEREIRA REBELO Bertelino RO Dealing in Securities 2013-01-07 2015-12-31
AML300 YAU Chung Kin, Ken 邱頌健 RE Dealing in Securities 2006-04-12 2006-12-28
AMN660 STEMME Kenneth Wayne RE Dealing in Securities 2005-12-19 2007-04-19
AMU552 YUEN Pui Lan 袁佩蘭 RE Dealing in Securities 2010-07-28 2011-04-29
AMV305 LEUNG Shuk Kwan 梁淑群 RE Dealing in Securities 2006-01-25 2007-09-07
AMX437 HODGSON Lesley Elaine RE Dealing in Securities 2006-02-22 2007-02-15
AMX437 HODGSON Lesley Elaine RE Dealing in Securities 2009-02-13 2009-04-30
AMX437 HODGSON Lesley Elaine RO Dealing in Securities 2007-02-15 2009-02-13
AMZ895 NIZAMI Zubair RE Dealing in Securities 2006-02-27 2011-03-09
ANG620 CLAYTON Andrew Robert RE Dealing in Securities 2006-06-29
ANH108 WATSON Stephen David RE Dealing in Securities 2006-06-13 2009-03-27
ANH128 DOWDS Stephen RE Dealing in Securities 2006-06-13 2009-03-27
ANL824 YOUNG Kelly-Ann Louise RE Dealing in Securities 2006-06-30 2007-04-25
ANT896 LEUNG Tsui Ying 梁翠瑩 RE Dealing in Securities 2006-10-04 2016-03-18
ANT901 LEW Hui Huang, Dianna 劉蕙璜 RE Dealing in Securities 2006-10-04 2007-04-20
ANU045 RUNQUIST Lori Rae RE Dealing in Securities 2006-10-17 2010-08-11
AOJ057 BISHOP Carter Wilson RE Dealing in Securities 2014-10-27 2017-01-20
AOU076 MILLER Justin Daniel RE Dealing in Securities 2007-05-09
AOY505 LAM Chi Ping 林治平 RE Dealing in Securities 2014-07-09 2016-07-07
AOY505 LAM Chi Ping 林治平 RO Dealing in Securities 2016-07-07
AOY505 LAM Chi Ping 林治平 RO Advising on Securities 2017-08-22
APB505 MORGAN Robert Paul RE Dealing in Securities 2007-07-26
APG437 CHEUNG Hei 張曦 RE Dealing in Securities 2010-05-11 2010-09-21
APS332 TOUSSAINT Jason Robert RE Dealing in Securities 2007-10-10 2009-03-27
APX209 CHAN Hiu Fung, Margaret 陳曉楓 RE Dealing in Securities 2007-10-31 2011-05-27
APX211 KWAN Mei Mei 關美美 RE Dealing in Securities 2007-10-31 2010-03-25
APX211 KWAN Mei Mei 關美美 RE Dealing in Securities 2011-06-08 2011-08-05
APX212 LUI Sau Sheung, Susan 雷秀嫦 RE Dealing in Securities 2007-10-31 2008-06-28
AQD246 MOTODA Chieko RE Dealing in Securities 2012-04-30 2013-04-05
AQG776 CHOW Chi Man 鄒志文 RE Dealing in Securities 2008-03-03 2011-05-06
AQG777 FANNIN Dane Gower RE Dealing in Securities 2008-03-03 2012-09-26
AQG777 FANNIN Dane Gower RO Dealing in Securities 2012-09-26
AQG777 FANNIN Dane Gower RO Advising on Securities 2017-07-11
AQG778 MAK Jacqueline Wai Man 麥慧敏 RE Dealing in Securities 2008-01-14 2011-09-09
AQL399 SIU Warren 蕭偉倫 RE Dealing in Securities 2008-03-04 2008-07-11
AQQ258 BATEMAN James Nicholas RE Dealing in Securities 2008-03-10 2009-03-25
ARE976 TRAPP George Bentley RO Dealing in Securities 2008-08-14 2009-07-31
ARM685 HAR Chun Kit, Johnson 夏俊傑 RE Dealing in Securities 2017-06-22 2018-11-01
ARR636 CHIANG Fuk Yip, Philip 蔣福業 RE Dealing in Securities 2008-10-03 2011-07-29
ART547 HARDY Kevin Shane Lee RE Dealing in Securities 2008-10-27 2009-01-29
ART547 HARDY Kevin Shane Lee RO Dealing in Securities 2009-01-29 2012-09-28
ART547 HARDY Kevin Shane Lee RO Dealing in Futures Contracts 2011-11-02 2012-09-28
ART547 HARDY Kevin Shane Lee RO Asset Management 2011-09-05 2012-09-28
ASD075 WONG Man Chun, Manfred 黃文俊 RE Dealing in Securities 2012-02-22 2016-09-20
ASD075 WONG Man Chun, Manfred 黃文俊 RE Dealing in Securities 2017-12-07
ASD075 WONG Man Chun, Manfred 黃文俊 RO Dealing in Securities 2016-09-20 2017-12-07
ASD075 WONG Man Chun, Manfred 黃文俊 RE Dealing in Futures Contracts 2012-02-22 2016-09-20
ASD075 WONG Man Chun, Manfred 黃文俊 RE Dealing in Futures Contracts 2017-12-07
ASD075 WONG Man Chun, Manfred 黃文俊 RO Dealing in Futures Contracts 2016-09-20 2017-12-07
ASD075 WONG Man Chun, Manfred 黃文俊 RE Asset Management 2015-12-07
ASE477 CHENG Xing 程星 RE Dealing in Securities 2009-01-29 2017-11-30
ASL911 SINGH Rohan Rajiv RE Dealing in Securities 2009-03-02 2011-11-07
ASY264 LEE Yin Ting, Ambrose 李彥霆 RE Dealing in Securities 2009-06-17 2013-10-31
ATG905 BROWNE Robert Patrick RE Dealing in Securities 2009-07-02
ATS216 GAYER Madhu Kanth RO Dealing in Securities 2009-12-04 2012-09-21
ATS219 MC DONALD James Duncan RE Dealing in Securities 2009-09-15
ATS220 HUTCHINSON Simon Andrew RE Dealing in Securities 2009-09-15 2014-10-31
ATS224 WEAVER Jacob Carl RE Dealing in Securities 2009-09-17 2014-05-30
AVB984 ADAMS JR Bradford Simonds RE Dealing in Securities 2010-04-26 2012-02-24
AVM744 HO Yee Ki 何漪淇 RE Dealing in Securities 2010-08-18 2015-02-06
AVV851 DYMOND Nicholas James RE Dealing in Securities 2010-09-10
AVV851 DYMOND Nicholas James RE Asset Management 2017-03-27
AWW305 DWYER Patrick Edward RE Dealing in Securities 2011-02-28 2012-03-31
AWW305 DWYER Patrick Edward RO Asset Management 2011-09-05 2012-03-31
AWX212 LAW Margaret Man Nei 羅敏妮 RE Dealing in Securities 2011-03-07 2014-07-22
AWX212 LAW Margaret Man Nei 羅敏妮 RO Dealing in Securities 2014-07-22 2018-06-25
AWY016 DUVALL Margret Eva RE Dealing in Securities 2011-03-09
AXG797 POTTINGER Simon George Alston RE Dealing in Securities 2011-05-16 2011-06-01
AXG800 KAWAI Mikiko RE Dealing in Securities 2011-05-16 2012-04-09
AYD210 ANNAKIN Craig Stewart RO Dealing in Securities 2011-11-02 2015-02-13
AYD210 ANNAKIN Craig Stewart RO Dealing in Futures Contracts 2011-11-02 2015-02-13
AYD211 VIGSNES JR Richard Allan RO Dealing in Securities 2013-03-08
AYD211 VIGSNES JR Richard Allan RO Dealing in Futures Contracts 2011-11-02
AYD550 ENG Bun Sieng RE Dealing in Securities 2011-10-10
AYD555 MC CARTHY Barry RE Dealing in Securities 2011-10-03 2014-07-15
AYG549 CHUAH Keng Hin 蔡景興 RO Dealing in Securities 2015-12-03 2017-04-07
AYG549 CHUAH Keng Hin 蔡景興 RO Dealing in Futures Contracts 2015-12-03 2017-04-07
AYG549 CHUAH Keng Hin 蔡景興 RE Asset Management 2011-10-28 2012-02-15
AYG549 CHUAH Keng Hin 蔡景興 RO Asset Management 2012-02-15 2017-04-07
AYG552 BASSOUS Shlomo RE Asset Management 2011-10-24 2015-12-31
AYQ549 SHEN Blake C 沈欽揚 RE Dealing in Securities 2011-12-13 2018-02-26
AZF343 FAHLIN Anders Jimmy RE Asset Management 2012-03-26 2014-06-25
AZI757 MAEDA Tomoko RE Dealing in Securities 2012-04-23 2014-09-05
BAD802 BOWERS Wayne George RO Dealing in Securities 2012-09-12 2018-01-09
BAD802 BOWERS Wayne George RO Dealing in Futures Contracts 2012-09-12 2018-01-09
BAD802 BOWERS Wayne George RO Asset Management 2012-09-12 2018-01-09
BAF825 PASIEKA Gregory Robert RO Dealing in Securities 2017-07-11
BAF825 PASIEKA Gregory Robert RO Dealing in Futures Contracts 2017-07-11
BAF825 PASIEKA Gregory Robert RE Asset Management 2012-10-04 2017-07-11
BAF825 PASIEKA Gregory Robert RO Asset Management 2017-07-11
BAI015 MAK Kam Hoong 麥錦雄 RE Dealing in Securities 2012-10-19 2014-05-23
BAK711 LO Ka Bik, Elmen 盧家碧 RE Dealing in Securities 2012-11-08
BAN067 KWOK Suet Ying Lily Vanessa 郭雪英 RE Dealing in Securities 2018-11-12
BAV767 BLACKWELL Bradley Joseph RE Dealing in Securities 2013-02-27 2015-03-27
BBB838 YAMADA Akiko 山田晃子 RE Dealing in Securities 2013-04-05 2013-10-31
BBT689 HAR Wilson Wai Shun 夏偉舜 RE Dealing in Securities 2017-12-22
BBT689 HAR Wilson Wai Shun 夏偉舜 RE Dealing in Futures Contracts 2017-12-22
BBY536 ARNOTT Robert Lauriston John RO Dealing in Securities 2017-03-10
BBY536 ARNOTT Robert Lauriston John RO Advising on Securities 2017-03-10
BBZ347 CHOO Kaitlyn Shiyuet 朱世悅 RE Dealing in Securities 2013-10-04 2015-10-10
BCJ985 OVAERT Brian Patrick RO Dealing in Securities 2014-01-08 2015-03-13
BCJ985 OVAERT Brian Patrick RO Dealing in Futures Contracts 2014-01-08 2015-03-13
BCJ985 OVAERT Brian Patrick RO Asset Management 2014-01-08 2015-03-13
BDE481 AIKAWA Masahiro 相川雅宏 RE Asset Management 2014-04-01
BDX964 COKER Mark Edward RE Dealing in Securities 2014-09-15 2014-12-12
BEO215 EASTWOOD Helen Rebecca RE Dealing in Securities 2017-05-18
BEO215 EASTWOOD Helen Rebecca RE Advising on Securities 2017-05-18
BEO419 MORTON Douglas James Macleod RE Dealing in Securities 2017-05-18
BEO419 MORTON Douglas James Macleod RE Advising on Securities 2017-05-18
BEV999 SIN Jordan Chun Kit 冼俊傑 RE Dealing in Securities 2015-01-22 2017-08-04
BFI735 WU Michael Chu Mo RO Dealing in Securities 2015-06-08
BFI735 WU Michael Chu Mo RO Dealing in Futures Contracts 2015-06-08
BFI735 WU Michael Chu Mo RO Advising on Securities 2017-03-10
BFI735 WU Michael Chu Mo RO Asset Management 2015-06-08
BFY806 TAN Thuan Shiah Michael RE Dealing in Securities 2015-08-06 2015-12-02
BFY806 TAN Thuan Shiah Michael RO Dealing in Securities 2015-12-02
BFY806 TAN Thuan Shiah Michael RE Dealing in Futures Contracts 2015-08-06
BFY806 TAN Thuan Shiah Michael RE Asset Management 2015-12-02
BGE380 PARK Jong IL Howard 朴鍾壹 RE Dealing in Securities 2015-09-11 2016-03-29
BGE380 PARK Jong IL Howard 朴鍾壹 RE Dealing in Securities 2016-05-03
BGL570 TAN Teng Hui Nicholas 陳定輝 RE Dealing in Securities 2015-11-02 2016-10-18
BGP119 FAN Mei Kei Maggie 樊美姬 RE Dealing in Securities 2015-11-26 2016-12-23
BHF472 MC CAREINS JR John Martin RE Dealing in Securities 2016-04-01 2016-10-04
BHF472 MC CAREINS JR John Martin RO Dealing in Securities 2016-10-04
BHF472 MC CAREINS JR John Martin RO Dealing in Futures Contracts 2016-10-04
BHF472 MC CAREINS JR John Martin RO Advising on Securities 2017-08-15
BHF472 MC CAREINS JR John Martin RO Asset Management 2016-10-04
BHO437 LI Xinyi 李心怡 RE Dealing in Securities 2018-03-14
BIV170 LEE Eric Joon Ho RE Dealing in Securities 2016-12-23
BIW042 FOOTER Cameron Duncan RO Dealing in Securities 2017-03-10
BIW042 FOOTER Cameron Duncan RO Advising on Securities 2017-03-10
BJB152 SNOWDON Andrew Mark RE Dealing in Securities 2017-02-09
BJN318 GEGGUS Andrew Charles RE Dealing in Securities 2017-07-05
BJP479 CAMPLING Neil Allan RE Dealing in Securities 2017-05-29 2017-09-05
BJP479 CAMPLING Neil Allan RE Advising on Securities 2017-05-29 2017-09-05
BMQ117 YOO Yong Jae RE Dealing in Securities 2018-10-08
BMQ117 YOO Yong Jae RE Advising on Securities 2018-10-08
BMS501 IRWIN John Laurence RO Dealing in Securities 2018-07-09
BNB199 CHOW Yuk Hei Christopher 周昱希 RE Dealing in Securities 2018-06-11 2018-11-01
BNC301 DENG Dian 鄧典 RE Dealing in Securities 2018-07-18
BNJ950 ALLISON Andrew James RE Asset Management 2018-08-22

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