Hong Kong SFC licence institution ACT053, Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司

These are the licence-holders that were found for SFC licence institution ACT053 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
AAA935 HO Shuk Yee, Samantha 何淑懿 RE Asset Management 2013-04-29 2013-05-23
AAA935 HO Shuk Yee, Samantha 何淑懿 RO Asset Management 2013-05-23 2013-11-29
AAJ268 POON To Sing 潘道成 RE Advising on Securities 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Advising on Futures Contracts 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Advising on Corporate Finance 2003-04-01 2004-04-07
AAJ268 POON To Sing 潘道成 RE Asset Management 2003-04-01 2004-04-07
AAW009 LAI Pik Kwan 黎璧君 RE Dealing in Securities 2008-02-19 2011-05-20
AAW009 LAI Pik Kwan 黎璧君 RE Asset Management 2008-02-19 2011-05-20
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Dealing in Securities 2008-08-26 2009-02-28
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Advising on Securities 2008-08-26 2009-02-28
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Asset Management 2008-10-22 2009-02-28
ACC557 LEUNG See Charm, Eugene 梁思湛 RE Dealing in Securities 2005-12-01 2006-08-22
ACC557 LEUNG See Charm, Eugene 梁思湛 RO Dealing in Securities 2006-08-22 2011-12-05
ACC557 LEUNG See Charm, Eugene 梁思湛 RE Advising on Securities 2004-12-23 2006-08-22
ACC557 LEUNG See Charm, Eugene 梁思湛 RO Advising on Securities 2006-08-22 2011-12-05
ACC557 LEUNG See Charm, Eugene 梁思湛 RE Asset Management 2004-12-23 2006-08-22
ACC557 LEUNG See Charm, Eugene 梁思湛 RO Asset Management 2006-08-22 2013-05-31
ACI692 CHAN Yin Kar, Joyce 陳彥嘉 RE Advising on Securities 2003-04-28 2003-12-08
ACM544 LO Huen Huen, Sulia 盧暄萱 RO Advising on Securities 2003-04-01 2004-04-11
ACM544 LO Huen Huen, Sulia 盧暄萱 RE Advising on Futures Contracts 2003-04-01 2004-04-11
ACM544 LO Huen Huen, Sulia 盧暄萱 RO Asset Management 2003-04-01 2004-04-11
ACO201 CHAN Lai Sze 陳麗絲 RE Dealing in Securities 2005-12-02 2006-04-06
ACO201 CHAN Lai Sze 陳麗絲 RO Dealing in Securities 2006-04-06 2013-03-31
ACO201 CHAN Lai Sze 陳麗絲 RE Advising on Securities 2003-04-01 2006-04-06
ACO201 CHAN Lai Sze 陳麗絲 RO Advising on Securities 2006-04-06 2013-03-31
ACO201 CHAN Lai Sze 陳麗絲 RE Advising on Futures Contracts 2003-04-01 2005-07-28
ACO201 CHAN Lai Sze 陳麗絲 RO Advising on Futures Contracts 2005-07-28 2006-05-26
ACO201 CHAN Lai Sze 陳麗絲 RE Advising on Corporate Finance 2003-04-01 2004-10-29
ACO201 CHAN Lai Sze 陳麗絲 RE Asset Management 2003-04-01 2004-12-15
ACO201 CHAN Lai Sze 陳麗絲 RO Asset Management 2004-12-15 2013-03-31
ACO201 CHAN Lai Sze 陳麗絲 RO Asset Management 2013-09-17 2014-07-31
ACP609 CHOW Irene Man Ling 周雯玲 RO Advising on Securities 2003-04-01 2003-05-01
ACP609 CHOW Irene Man Ling 周雯玲 RE Advising on Futures Contracts 2003-04-01 2003-05-01
ACP609 CHOW Irene Man Ling 周雯玲 RO Asset Management 2003-04-01 2003-05-01
ACQ100 FAN Wai Man, Ana 樊惠文 RE Dealing in Securities 2006-09-25 2007-07-31
ACQ100 FAN Wai Man, Ana 樊惠文 RE Advising on Securities 2006-09-25 2007-07-31
ACQ100 FAN Wai Man, Ana 樊惠文 RE Asset Management 2006-09-25 2007-07-31
ACT312 YIAN Chui Wah, Lethe 任翠華 RE Dealing in Securities 2005-12-01 2007-11-16
ACT312 YIAN Chui Wah, Lethe 任翠華 RE Advising on Securities 2005-02-04 2007-11-16
ACT312 YIAN Chui Wah, Lethe 任翠華 RE Asset Management 2005-02-04 2007-11-16
ADF951 CHAN Siu Chi 陳少芝 RE Advising on Securities 2003-04-01 2004-05-21
ADF951 CHAN Siu Chi 陳少芝 RE Advising on Corporate Finance 2003-04-01 2004-05-21
ADF951 CHAN Siu Chi 陳少芝 RE Asset Management 2003-04-01 2004-05-21
ADT848 LU Carolyn Anne 陸舜華 RO Dealing in Securities 2005-10-31 2006-05-01
ADT848 LU Carolyn Anne 陸舜華 RE Advising on Securities 2003-04-01 2004-08-27
ADT848 LU Carolyn Anne 陸舜華 RO Advising on Securities 2004-08-27 2006-05-01
ADT848 LU Carolyn Anne 陸舜華 RE Advising on Futures Contracts 2003-04-01 2004-05-10
ADT848 LU Carolyn Anne 陸舜華 RO Advising on Futures Contracts 2004-08-27 2006-05-01
ADT848 LU Carolyn Anne 陸舜華 RE Advising on Corporate Finance 2003-04-01 2004-05-10
ADT848 LU Carolyn Anne 陸舜華 RE Asset Management 2003-04-01 2004-05-10
ADT848 LU Carolyn Anne 陸舜華 RO Asset Management 2005-01-18 2006-05-01
ADW527 MUH Anthony Yi Tong 沐義棠 RO Advising on Securities 2003-04-01 2005-04-19
ADW527 MUH Anthony Yi Tong 沐義棠 RO Advising on Futures Contracts 2003-04-01 2005-04-19
ADW527 MUH Anthony Yi Tong 沐義棠 RO Advising on Corporate Finance 2003-04-01 2004-08-27
ADW527 MUH Anthony Yi Tong 沐義棠 RO Asset Management 2003-04-01 2005-04-19
AEC940 TAYLOR Christopher Michael RE Dealing in Securities 2017-12-01 2017-12-08
AEF921 NEWMAN James Shields RO Advising on Securities 2003-04-01 2004-01-31
AEF921 NEWMAN James Shields RO Advising on Futures Contracts 2003-04-01 2004-01-31
AEF921 NEWMAN James Shields RO Asset Management 2003-04-01 2004-01-31
AEG454 WONG Suet Ting 黃雪婷 RE Dealing in Securities 2013-11-14 2015-06-12
AEG454 WONG Suet Ting 黃雪婷 RE Advising on Securities 2013-11-14 2015-06-12
AEK540 HO Mei Ling, Edwina 何美玲 RE Dealing in Securities 2005-12-01 2006-03-01
AEK540 HO Mei Ling, Edwina 何美玲 RE Dealing in Securities 2016-04-25 2017-08-28
AEK540 HO Mei Ling, Edwina 何美玲 RO Dealing in Securities 2017-08-28 2018-05-03
AEK540 HO Mei Ling, Edwina 何美玲 RE Advising on Securities 2005-01-18 2006-03-01
AEK540 HO Mei Ling, Edwina 何美玲 RE Advising on Securities 2016-04-25 2017-08-28
AEK540 HO Mei Ling, Edwina 何美玲 RO Advising on Securities 2017-08-28 2018-05-03
AEK540 HO Mei Ling, Edwina 何美玲 RE Asset Management 2005-01-18 2006-03-01
AEM645 TAM Zumin Patrick Jr. 譚祖岷 RE Dealing in Securities 2016-04-28
AEM645 TAM Zumin Patrick Jr. 譚祖岷 RE Advising on Securities 2016-04-28
AER797 YU Tin Lai 余天麗 RE Advising on Securities 2007-09-21 2007-09-28
AEU794 YEUNG Tsz Yau,Sarah 楊子悠 RE Dealing in Securities 2006-07-24 2006-09-30
AEU794 YEUNG Tsz Yau,Sarah 楊子悠 RE Advising on Securities 2006-07-24 2006-09-30
AFD453 CHAN Winnie 陳韻妮 RE Dealing in Securities 2005-12-01 2013-03-28
AFD453 CHAN Winnie 陳韻妮 RE Advising on Securities 2005-04-19 2013-03-28
AFD453 CHAN Winnie 陳韻妮 RE Asset Management 2005-04-19 2012-10-12
AFD453 CHAN Winnie 陳韻妮 RO Asset Management 2012-10-12 2014-04-30
AFF236 TSE Kit Ting, Monique 謝潔婷 RE Dealing in Securities 2006-11-07 2013-07-02
AFF236 TSE Kit Ting, Monique 謝潔婷 RE Advising on Securities 2006-11-21 2013-07-02
AFF236 TSE Kit Ting, Monique 謝潔婷 RE Asset Management 2006-11-21 2013-07-02
AFN905 LEE Sai Yin 李世賢 RE Dealing in Securities 2006-08-02 2006-09-23
AFN905 LEE Sai Yin 李世賢 RO Dealing in Securities 2006-09-23 2007-09-08
AFN905 LEE Sai Yin 李世賢 RE Advising on Securities 2006-08-02 2006-09-23
AFN905 LEE Sai Yin 李世賢 RO Advising on Securities 2006-09-23 2007-09-08
AFN905 LEE Sai Yin 李世賢 RE Asset Management 2006-08-02 2006-09-23
AFN905 LEE Sai Yin 李世賢 RO Asset Management 2006-09-23 2007-09-08
AFR464 CHOON Yew Khee 秦耀奇 RO Dealing in Securities 2005-10-31 2006-07-15
AFR464 CHOON Yew Khee 秦耀奇 RE Advising on Securities 2003-04-01 2004-10-27
AFR464 CHOON Yew Khee 秦耀奇 RO Advising on Securities 2004-10-27 2006-07-15
AFR464 CHOON Yew Khee 秦耀奇 RE Advising on Corporate Finance 2003-04-01 2004-08-17
AFR464 CHOON Yew Khee 秦耀奇 RE Asset Management 2003-04-01 2004-08-17
AFR464 CHOON Yew Khee 秦耀奇 RE Asset Management 2004-12-03 2005-10-25
AFR464 CHOON Yew Khee 秦耀奇 RO Asset Management 2005-10-25 2006-07-15
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Advising on Securities 2003-04-01 2003-11-28
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Advising on Corporate Finance 2003-04-01 2003-11-28
AFS829 LOH Tak Chi, Kenneth Anthony 陸德志 RE Asset Management 2003-04-01 2003-11-28
AFU886 LEE Yin Tak 李賢德 RE Advising on Securities 2003-10-15 2005-12-01
AFU886 LEE Yin Tak 李賢德 RE Advising on Futures Contracts 2003-10-15 2005-12-01
AFU886 LEE Yin Tak 李賢德 RE Asset Management 2003-10-15 2005-12-01
AGJ907 CHAN Chun Man 陳俊文 RE Dealing in Securities 2006-02-07 2006-07-27
AGJ907 CHAN Chun Man 陳俊文 RO Dealing in Securities 2006-07-27 2007-02-27
AGJ907 CHAN Chun Man 陳俊文 RE Advising on Securities 2006-02-07 2006-07-27
AGJ907 CHAN Chun Man 陳俊文 RO Advising on Securities 2006-07-27 2007-02-27
AGJ907 CHAN Chun Man 陳俊文 RE Asset Management 2006-02-07 2007-03-01
AGJ950 LAU Tsz Lung 劉子龍 RE Dealing in Securities 2005-12-01 2005-12-21
AGJ950 LAU Tsz Lung 劉子龍 RE Advising on Securities 2003-04-01 2005-12-21
AGJ950 LAU Tsz Lung 劉子龍 RE Advising on Futures Contracts 2003-04-01 2005-12-21
AGJ950 LAU Tsz Lung 劉子龍 RE Advising on Corporate Finance 2003-04-01 2004-08-09
AGJ950 LAU Tsz Lung 劉子龍 RE Asset Management 2003-04-01 2005-12-21
AGL147 YAN Chi Kwan 顏志軍 RE Advising on Securities 2003-04-01 2004-09-09
AGL147 YAN Chi Kwan 顏志軍 RE Advising on Corporate Finance 2003-04-01 2004-08-09
AGL147 YAN Chi Kwan 顏志軍 RE Asset Management 2003-04-01 2004-08-09
AGL235 TAN Su Ee, Hedy RE Dealing in Securities 2007-04-16
AGL235 TAN Su Ee, Hedy RE Advising on Securities 2007-04-16
AGL235 TAN Su Ee, Hedy RE Asset Management 2007-04-16 2014-08-01
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Dealing in Securities 2007-04-16 2008-06-28
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Advising on Securities 2007-04-16 2008-06-28
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Asset Management 2007-04-16 2008-06-28
AGP663 LAM Lam, Linda 林霖 RE Dealing in Securities 2005-12-01 2006-07-01
AGP663 LAM Lam, Linda 林霖 RE Advising on Securities 2003-04-01 2006-07-01
AGP663 LAM Lam, Linda 林霖 RE Advising on Futures Contracts 2003-04-01 2006-07-01
AGP663 LAM Lam, Linda 林霖 RE Advising on Corporate Finance 2003-04-01 2004-08-09
AGP663 LAM Lam, Linda 林霖 RE Asset Management 2003-04-01 2004-08-09
AGP663 LAM Lam, Linda 林霖 RE Asset Management 2005-02-07 2006-07-01
AGY066 LAM Josephine 林詠琪 RE Dealing in Securities 2005-12-01 2013-03-28
AGY066 LAM Josephine 林詠琪 RE Advising on Securities 2004-07-30 2013-03-28
AGY066 LAM Josephine 林詠琪 RE Asset Management 2004-07-30 2013-03-28
AHH541 TSANG Freeman Siu For 曾劭科 RE Dealing in Securities 2005-12-01 2006-06-24
AHH541 TSANG Freeman Siu For 曾劭科 RE Dealing in Securities 2009-11-09 2010-03-29
AHH541 TSANG Freeman Siu For 曾劭科 RO Dealing in Securities 2010-03-29
AHH541 TSANG Freeman Siu For 曾劭科 RE Advising on Securities 2004-10-19 2006-06-24
AHH541 TSANG Freeman Siu For 曾劭科 RE Advising on Securities 2009-11-09 2010-03-29
AHH541 TSANG Freeman Siu For 曾劭科 RO Advising on Securities 2010-03-29
AHH541 TSANG Freeman Siu For 曾劭科 RE Asset Management 2004-11-26 2006-06-24
AHI208 WONG Susie Anne RE Advising on Securities 2003-04-01 2004-05-14
AHI208 WONG Susie Anne RE Advising on Corporate Finance 2003-04-01 2004-05-14
AHI208 WONG Susie Anne RE Asset Management 2003-04-01 2004-05-14
AHO170 TSANG Wai Ching 曾惠貞 RE Dealing in Securities 2010-11-23 2013-05-28
AHO170 TSANG Wai Ching 曾惠貞 RE Advising on Securities 2010-11-23 2013-05-28
AIQ973 HUI Hoi Pan 許海濱 RE Dealing in Securities 2006-05-09 2010-04-13
AIQ973 HUI Hoi Pan 許海濱 RO Dealing in Securities 2010-04-13 2010-06-26
AIQ973 HUI Hoi Pan 許海濱 RE Advising on Securities 2006-04-29 2010-04-13
AIQ973 HUI Hoi Pan 許海濱 RO Advising on Securities 2010-04-13 2010-06-26
AIQ973 HUI Hoi Pan 許海濱 RE Advising on Futures Contracts 2006-04-29 2006-05-26
AIQ973 HUI Hoi Pan 許海濱 RE Asset Management 2006-04-29 2010-04-13
AIQ973 HUI Hoi Pan 許海濱 RO Asset Management 2010-04-13 2010-06-26
AJA081 WONG Kit Yee, Martina 黃潔怡 RE Asset Management 2003-06-10 2004-03-05
AJA081 WONG Kit Yee, Martina 黃潔怡 RE Asset Management 2004-10-25 2006-08-17
AJA082 CHAN Nga Yan 陳雅茵 RE Asset Management 2003-06-10 2004-04-20
AJB738 FONG Man Yu 方聞宇 RE Asset Management 2003-07-28 2003-09-08
AJJ143 MITCHELL Christine Ka Yee 家宜 RE Advising on Securities 2004-09-22 2005-10-22
AJJ143 MITCHELL Christine Ka Yee 家宜 RE Asset Management 2005-02-07 2005-10-22
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Dealing in Securities 2005-12-01 2007-03-01
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Advising on Securities 2004-02-02 2007-03-01
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Advising on Futures Contracts 2004-09-22 2006-05-26
AJL012 LEE Kai Ho, Patrick 李啟豪 RE Asset Management 2004-09-22 2007-03-01
AJO197 CHUI Suk Yee, Halina 徐淑儀 RE Dealing in Securities 2013-12-16 2016-11-03
AJO197 CHUI Suk Yee, Halina 徐淑儀 RE Advising on Securities 2013-12-16 2016-11-03
AKI295 YEO Thiam Hu RE Dealing in Securities 2005-12-01 2005-12-03
AKI295 YEO Thiam Hu RE Asset Management 2004-04-02 2005-12-03
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Dealing in Securities 2005-12-01 2011-07-06
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Advising on Securities 2004-07-05 2011-07-06
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Advising on Futures Contracts 2004-07-05 2006-05-26
AKW953 CHAN Ka Ning, Karen 陳嘉寧 RE Asset Management 2004-07-05 2011-07-06
ALC058 WU Ngai See, Cecilia 胡毅詩 RE Advising on Securities 2004-09-28 2005-07-01
ALC058 WU Ngai See, Cecilia 胡毅詩 RE Asset Management 2005-03-01 2005-07-01
ALG052 CHEN Chia-hao 陳家豪 RE Dealing in Securities 2005-12-01 2009-03-15
ALG052 CHEN Chia-hao 陳家豪 RE Advising on Securities 2008-08-15 2009-03-15
ALK033 MAK Yuen Kwun, Winnie 麥婉鈞 RE Dealing in Securities 2007-12-03 2011-07-28
ALK033 MAK Yuen Kwun, Winnie 麥婉鈞 RE Advising on Securities 2007-10-29 2011-07-28
ALN138 GUHA ROY Tathagata RE Advising on Securities 2004-11-30 2005-01-24
ALN138 GUHA ROY Tathagata RO Advising on Securities 2005-01-24 2005-08-01
ALN138 GUHA ROY Tathagata RO Advising on Futures Contracts 2005-04-04 2005-08-01
ALN138 GUHA ROY Tathagata RE Asset Management 2004-11-30 2005-01-24
ALN138 GUHA ROY Tathagata RO Asset Management 2005-01-24 2005-07-24
ALN300 HEBNER Kevin John RE Advising on Securities 2004-12-06 2005-07-31
ALN300 HEBNER Kevin John RE Asset Management 2004-12-06 2005-07-31
ALQ882 YUEN Yee Leng RE Dealing in Securities 2005-12-01 2008-09-01
ALQ882 YUEN Yee Leng RE Advising on Securities 2005-01-26 2008-09-01
ALQ882 YUEN Yee Leng RE Asset Management 2005-01-26 2014-07-31
ALS480 LEE Chiinhao Alex 李君浩 RE Advising on Securities 2005-02-17 2009-03-12
ALS480 LEE Chiinhao Alex 李君浩 RE Asset Management 2005-02-17 2009-03-12
ALY891 LEE Chun Sing 李振聲 RE Dealing in Securities 2008-06-03 2008-09-08
ALY891 LEE Chun Sing 李振聲 RO Dealing in Securities 2008-09-08 2011-08-16
ALY891 LEE Chun Sing 李振聲 RE Advising on Securities 2008-06-03 2008-09-08
ALY891 LEE Chun Sing 李振聲 RO Advising on Securities 2008-09-08 2011-08-16
ALY891 LEE Chun Sing 李振聲 RE Asset Management 2008-06-03 2008-09-08
ALY891 LEE Chun Sing 李振聲 RO Asset Management 2008-09-08 2011-08-16
AMA992 BARNETT Beatriz Suarez RE Dealing in Securities 2005-12-01 2006-05-27
AMA992 BARNETT Beatriz Suarez RE Advising on Securities 2005-06-06 2006-05-27
AMA992 BARNETT Beatriz Suarez RE Asset Management 2005-06-06 2006-05-27
AMF516 SHI Lin 石琳 RE Dealing in Securities 2011-10-21 2014-04-30
AMF516 SHI Lin 石琳 RE Asset Management 2011-10-21 2014-04-30
AMP166 WU Sze Man 胡詩敏 RE Dealing in Securities 2005-12-01 2006-12-09
AMP166 WU Sze Man 胡詩敏 RE Advising on Securities 2005-10-18 2006-12-09
AMP166 WU Sze Man 胡詩敏 RE Asset Management 2005-10-18 2006-12-09
AMS676 HENCHMAN Jason Christopher D. RO Dealing in Securities 2006-01-09 2010-01-16
AMS676 HENCHMAN Jason Christopher D. RO Advising on Securities 2006-01-09 2010-01-16
AMS676 HENCHMAN Jason Christopher D. RO Asset Management 2006-10-04 2010-01-16
AMX707 CHOY Yee Ling, Elina Elaine 蔡懿翎 RE Dealing in Securities 2008-07-17 2010-08-20
AMX707 CHOY Yee Ling, Elina Elaine 蔡懿翎 RE Advising on Securities 2008-07-17 2010-08-20
ANA191 AU Pui Ting 歐佩婷 RE Dealing in Securities 2007-01-11 2010-11-10
ANA191 AU Pui Ting 歐佩婷 RE Advising on Securities 2007-01-11 2010-11-10
ANA191 AU Pui Ting 歐佩婷 RE Asset Management 2007-01-11 2010-11-10
ANC021 CHAN Mei Shan 陳美珊 RE Dealing in Securities 2006-02-22 2014-07-31
ANC021 CHAN Mei Shan 陳美珊 RE Advising on Securities 2006-02-22 2014-07-31
ANC021 CHAN Mei Shan 陳美珊 RE Advising on Futures Contracts 2006-02-22 2006-05-26
ANC021 CHAN Mei Shan 陳美珊 RE Asset Management 2006-02-22 2014-04-10
ANC021 CHAN Mei Shan 陳美珊 RO Asset Management 2014-04-10 2014-07-31
AND633 LIM Siao Tung 林曉彤 RE Dealing in Securities 2006-04-20 2007-09-08
AND633 LIM Siao Tung 林曉彤 RE Advising on Securities 2006-04-20 2007-09-08
AND633 LIM Siao Tung 林曉彤 RE Asset Management 2006-04-20 2007-09-08
ANH718 IWAHARA Kohei RE Dealing in Securities 2006-04-24 2008-12-05
ANH718 IWAHARA Kohei RE Advising on Securities 2006-04-24 2008-12-05
ANH718 IWAHARA Kohei RE Advising on Futures Contracts 2006-04-24 2006-05-26
ANH718 IWAHARA Kohei RE Asset Management 2006-04-24 2008-12-05
ANK949 HA Ka Yan 夏嘉欣 RE Dealing in Securities 2013-11-21 2014-01-03
ANK949 HA Ka Yan 夏嘉欣 RE Advising on Securities 2013-11-21 2014-01-03
ANT271 LAI Wai Fong 賴慧芳 RE Dealing in Securities 2006-09-14 2006-10-14
ANT271 LAI Wai Fong 賴慧芳 RE Advising on Securities 2006-09-14 2006-10-14
ANT271 LAI Wai Fong 賴慧芳 RE Asset Management 2006-09-14 2006-10-14
AOA842 FAN Charrissa Wing Sze 范穎詩 RE Dealing in Securities 2010-03-15 2013-06-13
AOA842 FAN Charrissa Wing Sze 范穎詩 RE Advising on Securities 2010-03-15 2013-06-13
AOH362 HAMROCK Henry Patrick RE Dealing in Securities 2007-04-16
AOH362 HAMROCK Henry Patrick RE Advising on Securities 2007-04-16
AOH362 HAMROCK Henry Patrick RE Asset Management 2007-04-16 2014-08-01
AOQ744 FUNG Si Yu 馮思宇 RE Dealing in Securities 2008-03-11 2009-09-19
AOQ744 FUNG Si Yu 馮思宇 RE Advising on Securities 2008-03-11 2009-09-19
AOQ744 FUNG Si Yu 馮思宇 RE Asset Management 2008-03-11 2009-09-19
AOR816 GAY Mary Christine RE Advising on Securities 2007-03-26 2007-03-31
AOR816 GAY Mary Christine RE Advising on Securities 2007-09-28 2007-10-04
AOR816 GAY Mary Christine RE Advising on Securities 2008-03-04 2008-03-11
AOR816 GAY Mary Christine RE Advising on Securities 2010-03-22 2010-03-24
AOR819 JOHNSON Terence Andrew RE Advising on Securities 2007-03-16 2008-01-31
AOU779 FOLZ II John Petsel RE Advising on Securities 2007-04-20 2007-05-21
AOU780 BOLE Robert Mark RE Advising on Securities 2007-04-20 2007-05-21
APH366 HO Sui Wah 何瑞華 RE Dealing in Securities 2012-02-28 2013-05-31
APH366 HO Sui Wah 何瑞華 RE Advising on Securities 2012-02-28 2013-05-31
APP510 HO Ka Suen, Jennifer 何嘉璇 RE Dealing in Securities 2007-09-10 2012-07-25
APP510 HO Ka Suen, Jennifer 何嘉璇 RE Advising on Securities 2007-09-10 2012-07-25
APP525 CHOW Chui Ping 周翠萍 RE Dealing in Securities 2007-09-10 2009-11-17
APP525 CHOW Chui Ping 周翠萍 RE Advising on Securities 2007-09-10 2009-11-17
APP681 CHAN Pui Har 陳佩霞 RE Dealing in Securities 2007-09-10 2017-08-25
APP681 CHAN Pui Har 陳佩霞 RO Dealing in Securities 2017-08-25
APP681 CHAN Pui Har 陳佩霞 RE Advising on Securities 2007-09-10 2017-08-25
APP681 CHAN Pui Har 陳佩霞 RO Advising on Securities 2017-08-25
APP682 CHOW Chun Leung 周振亮 RE Dealing in Securities 2007-09-10 2014-07-31
APP682 CHOW Chun Leung 周振亮 RE Advising on Securities 2007-09-10 2014-07-31
APQ161 CHUA Peng Chong RE Advising on Securities 2007-09-21 2007-09-28
APR699 LIM Hong Heng, Lennie RE Dealing in Securities 2007-09-24 2008-02-22
APR699 LIM Hong Heng, Lennie RO Dealing in Securities 2008-02-22
APR699 LIM Hong Heng, Lennie RE Advising on Securities 2007-09-24 2008-02-22
APR699 LIM Hong Heng, Lennie RO Advising on Securities 2008-02-22
APS295 MILLER III William Herbert RE Dealing in Securities 2011-10-21 2011-10-28
APS295 MILLER III William Herbert RE Advising on Securities 2007-10-02 2007-10-08
APS295 MILLER III William Herbert RE Advising on Securities 2010-03-22 2010-03-24
AQF066 LOKE Weng Keong 陸永強 RE Dealing in Securities 2013-07-02
AQF066 LOKE Weng Keong 陸永強 RE Advising on Securities 2013-07-02
AQF066 LOKE Weng Keong 陸永強 RE Asset Management 2013-07-02 2014-08-01
AQI017 HO Ting Fung, Grammie 何霆鋒 RE Dealing in Securities 2011-08-12 2011-11-23
AQI017 HO Ting Fung, Grammie 何霆鋒 RE Dealing in Securities 2011-12-02 2013-01-01
AQI017 HO Ting Fung, Grammie 何霆鋒 RE Advising on Securities 2011-08-12 2011-11-23
AQI017 HO Ting Fung, Grammie 何霆鋒 RE Advising on Securities 2011-12-02 2013-01-01
AQO302 DAY Benjamin Clifford RE Advising on Securities 2008-02-27 2008-12-05
AQQ526 SENGELMANN Peter Sargent RE Advising on Securities 2009-08-19 2012-02-03
ARH222 SOON Yin Moi Desmond RE Dealing in Securities 2014-04-07 2014-04-11
ARH222 SOON Yin Moi Desmond RE Dealing in Securities 2016-09-02 2016-09-08
ARK830 CHU Wai Tak, Victor 褚偉德 RE Dealing in Securities 2008-08-05 2013-11-29
ARK830 CHU Wai Tak, Victor 褚偉德 RE Advising on Securities 2008-08-05 2013-11-29
ARK830 CHU Wai Tak, Victor 褚偉德 RE Asset Management 2008-08-05 2013-11-29
ARO056 IP Hung Kei 葉鴻基 RE Dealing in Securities 2013-05-13 2016-03-14
ARO056 IP Hung Kei 葉鴻基 RE Advising on Securities 2013-05-13 2016-03-14
ASU012 SWAB Robert E RE Advising on Securities 2009-04-20 2009-04-24
ATD290 ZELOUF Michael Barukh RE Advising on Securities 2009-06-23 2009-06-27
ATI148 DE MELLO Rajeev Donald RE Advising on Securities 2009-08-13 2011-06-03
ATI149 HAGSTROM JR Robert George RE Advising on Securities 2009-07-14 2009-07-18
AUM594 HO May Wai, Judy 何美蕙 RE Dealing in Securities 2010-01-12 2013-09-26
AUM594 HO May Wai, Judy 何美蕙 RE Advising on Securities 2010-01-12 2013-09-26
AUM594 HO May Wai, Judy 何美蕙 RE Asset Management 2010-01-12 2013-09-26
AWF128 HENCH William Anthony RE Dealing in Securities 2011-09-05 2011-09-09
AWF128 HENCH William Anthony RE Dealing in Securities 2013-04-09 2013-04-11
AWF128 HENCH William Anthony RE Dealing in Securities 2014-04-07 2014-04-11
AWF128 HENCH William Anthony RE Dealing in Securities 2015-04-10 2015-04-16
AWF128 HENCH William Anthony RE Dealing in Securities 2018-03-22 2018-03-29
AWF128 HENCH William Anthony RE Advising on Securities 2010-11-17 2010-11-20
AWJ929 CHU Lei Mei 朱莉薇 RE Dealing in Securities 2017-12-15
AWJ929 CHU Lei Mei 朱莉薇 RE Advising on Securities 2017-12-15
AXG586 HUNTER Philip James RE Dealing in Securities 2011-05-11 2013-03-18
AXG586 HUNTER Philip James RE Asset Management 2011-05-11 2013-03-18
AXJ789 CHOW Shun Yip 周順業 RE Dealing in Securities 2011-06-07 2013-01-28
AXJ789 CHOW Shun Yip 周順業 RE Advising on Securities 2011-06-07 2013-01-28
AXJ789 CHOW Shun Yip 周順業 RE Asset Management 2011-06-07 2013-01-28
AXN139 CHOW Mitchelle Tze Wei 周紫蕙 RE Dealing in Securities 2011-07-04 2015-09-25
AXN139 CHOW Mitchelle Tze Wei 周紫蕙 RE Advising on Securities 2011-07-04 2015-09-25
AYE973 PETERS Samuel Merchant RE Dealing in Securities 2011-10-21 2011-10-28
AYE973 PETERS Samuel Merchant RE Dealing in Securities 2012-07-06 2012-07-13
AYE973 PETERS Samuel Merchant RE Dealing in Securities 2013-04-19 2013-04-23
AYP132 ZHANG Jing 張婧 RE Dealing in Securities 2015-05-11 2016-01-26
AYP132 ZHANG Jing 張婧 RE Advising on Securities 2015-05-11 2016-01-26
AYS697 BATEMAN Joshua Dunham RE Dealing in Securities 2012-01-06 2012-09-03
AYS697 BATEMAN Joshua Dunham RE Advising on Securities 2012-01-06 2012-09-03
AYS697 BATEMAN Joshua Dunham RE Asset Management 2012-01-06 2012-09-03
AYT809 LEE Tsz Wai 李芷慧 RE Dealing in Securities 2015-11-03
AYT809 LEE Tsz Wai 李芷慧 RE Advising on Securities 2015-11-03
AYW787 HUANG Jiawen 黃賈雯 RE Dealing in Securities 2016-02-17
AYW787 HUANG Jiawen 黃賈雯 RE Advising on Securities 2016-02-17
AYW916 LIAN Chia Liang RE Dealing in Securities 2012-02-13 2012-02-17
AYW916 LIAN Chia Liang RE Dealing in Securities 2012-12-03 2012-12-05
AYW916 LIAN Chia Liang RE Dealing in Securities 2013-02-27 2013-03-05
AYW916 LIAN Chia Liang RE Dealing in Securities 2013-04-09 2013-04-11
AYW916 LIAN Chia Liang RE Dealing in Securities 2014-02-14 2014-02-18
AYW916 LIAN Chia Liang RE Dealing in Securities 2014-04-07 2014-04-11
AYW916 LIAN Chia Liang RE Dealing in Securities 2015-03-25 2015-03-27
AZM892 LIU Wing Chung 廖詠聰 RE Dealing in Securities 2017-02-06
AZM892 LIU Wing Chung 廖詠聰 RE Advising on Securities 2017-02-06
BAC311 RIBAS LEQUERICA Nuria Maria RE Dealing in Securities 2012-09-12 2012-09-14
BAO930 FETTER Theodore Walker RE Dealing in Securities 2013-01-09 2013-01-11
BAP110 YANG Dongni 楊冬旎 RE Dealing in Securities 2012-12-10 2017-11-17
BAP110 YANG Dongni 楊冬旎 RE Advising on Securities 2012-12-10 2017-11-17
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2013-08-09 2013-08-14
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2015-10-09 2015-10-14
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2016-02-26 2016-03-02
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2016-06-06 2016-06-10
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2016-08-12 2016-08-18
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2017-03-13 2017-03-17
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2017-05-29 2017-06-02
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2017-10-09 2017-10-13
BBO925 ADEWALE Amanda Patricia RE Dealing in Securities 2018-04-20 2018-04-27
BBS872 VIRAG Ryan David RE Dealing in Securities 2013-09-10 2013-09-13
BBY229 BUCHANAN Michael Carlton RE Dealing in Securities 2013-10-18 2013-10-25
BDE796 HUANG Li 黃理 RE Dealing in Securities 2014-04-25
BDE796 HUANG Li 黃理 RE Advising on Securities 2014-04-25
BDL303 CAMP Tristan Hector RE Dealing in Securities 2014-05-22 2014-05-26
BDL303 CAMP Tristan Hector RE Dealing in Securities 2014-11-17 2014-11-21
BDL303 CAMP Tristan Hector RE Dealing in Securities 2015-08-28 2015-09-05
BDL303 CAMP Tristan Hector RE Dealing in Securities 2017-09-11 2017-09-15
BDL303 CAMP Tristan Hector RE Dealing in Securities 2018-08-15 2018-08-17
BDU057 LEE Clement Jia Yi RE Dealing in Securities 2014-08-14 2015-02-06
BDU057 LEE Clement Jia Yi RE Advising on Securities 2014-08-14 2015-02-06
BEF243 MCALLISTER Mark James RE Dealing in Securities 2014-10-15 2014-10-17
BEQ178 CHANDRAN Prashant RE Dealing in Securities 2015-01-05 2015-01-09
BEQ178 CHANDRAN Prashant RE Dealing in Securities 2018-01-11 2018-01-17
BES750 YU Jean Jin RE Dealing in Securities 2015-01-05 2015-01-08
BFC991 MC INTYRE John Phillip RE Dealing in Securities 2015-03-25 2015-03-28
BFP009 BORROMEO Regina Ma Cristina Gonzalez RE Dealing in Securities 2015-06-24 2015-06-26
BFP011 LYE Yu Hua Carol RE Dealing in Securities 2015-06-24 2015-06-26
BGC211 PETRYK Adam Jay RE Dealing in Securities 2015-09-14 2015-09-16
BGI314 FILICETTI Guido Anthony RE Dealing in Securities 2015-10-16 2015-10-22
BGI314 FILICETTI Guido Anthony RE Dealing in Securities 2017-04-24 2017-04-28
BGZ262 ANDERSON Kathleen Murray RE Dealing in Securities 2016-02-19 2016-02-23
BHL933 NORMAN James Hayden RE Dealing in Securities 2016-05-18 2016-05-21
BID986 HUNG Jacqueline Chi-ching 孔芷晴 RE Dealing in Securities 2018-04-23
BID986 HUNG Jacqueline Chi-ching 孔芷晴 RE Advising on Securities 2018-04-23
BJO252 DAYAL Ajay Ashokkumar RE Dealing in Securities 2017-06-20 2017-06-23
BKC147 KLOSS Brian Lavelle RE Dealing in Securities 2017-09-25 2017-09-29
BKC147 KLOSS Brian Lavelle RE Dealing in Securities 2018-11-06 2018-11-09
BMU800 LAWRENCE Richard RE Dealing in Securities 2018-05-14 2018-05-18
BMV154 SUE Douglas Richard RE Dealing in Securities 2018-05-25 2018-06-01
BMV736 BADLANI Dilip Phatu RE Advising on Securities 2018-05-16
BMY317 NEUMAYER Elliott Richard RE Dealing in Securities 2018-05-30 2018-06-01
BMY317 NEUMAYER Elliott Richard RE Dealing in Securities 2018-10-08 2018-10-12
BNC600 FU Yunjie, Desmond 傅雲杰 RE Dealing in Securities 2018-07-03 2018-07-09

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