These are the licence-holders that were found for SFC licence institution ADJ147 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 |
|---|---|---|---|---|---|---|
| AAD811 | KAM Pak Wah, Franklin | 金百華 | RO | Dealing in Securities | 2017-05-12 | 2017-08-10 |
| AAD811 | KAM Pak Wah, Franklin | 金百華 | RO | Advising on Securities | 2017-05-12 | 2017-08-10 |
| AAD811 | KAM Pak Wah, Franklin | 金百華 | RO | Asset Management | 2017-05-12 | 2017-08-10 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RE | Dealing in Securities | 2005-01-12 | 2005-06-01 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Dealing in Securities | 2005-06-01 | 2017-05-12 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Dealing in Futures Contracts | 2006-05-23 | 2017-05-12 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Advising on Securities | 2005-06-01 | 2017-05-12 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Advising on Futures Contracts | 2006-05-23 | 2017-05-12 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Advising on Corporate Finance | 2005-06-01 | 2014-10-15 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Asset Management | 2005-06-01 | 2017-05-12 |
| ABG936 | YAMAMOTO Masahiko | RO | Dealing in Securities | 2003-04-01 | 2017-08-10 | |
| ABG936 | YAMAMOTO Masahiko | RO | Dealing in Futures Contracts | 2006-05-23 | 2017-07-24 | |
| ABG936 | YAMAMOTO Masahiko | RO | Advising on Securities | 2003-04-01 | 2017-08-10 | |
| ABG936 | YAMAMOTO Masahiko | RO | Advising on Futures Contracts | 2006-05-23 | 2017-07-07 | |
| ABG936 | YAMAMOTO Masahiko | RO | Advising on Corporate Finance | 2003-04-01 | 2014-10-15 | |
| ABG936 | YAMAMOTO Masahiko | RO | Asset Management | 2003-04-01 | 2017-08-10 | |
| ADQ016 | OGYU Kenju | 荻生謙樹 | RO | Dealing in Securities | 2007-12-12 | 2008-04-30 |
| ADQ016 | OGYU Kenju | 荻生謙樹 | RO | Advising on Securities | 2007-12-12 | 2008-04-30 |
| ADQ016 | OGYU Kenju | 荻生謙樹 | RO | Advising on Corporate Finance | 2007-12-12 | 2008-04-30 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Dealing in Securities | 2017-05-31 | 2017-07-27 |
| ADQ592 | WONG Foelan | 黃富仁 | RO | Dealing in Securities | 2017-07-27 | 2017-10-31 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Dealing in Futures Contracts | 2017-05-31 | 2017-07-24 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Advising on Securities | 2017-05-31 | 2017-07-27 |
| ADQ592 | WONG Foelan | 黃富仁 | RO | Advising on Securities | 2017-07-27 | 2017-10-31 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Advising on Futures Contracts | 2017-05-31 | 2017-07-24 |
| ADQ592 | WONG Foelan | 黃富仁 | RE | Asset Management | 2017-05-31 | 2017-07-27 |
| ADQ592 | WONG Foelan | 黃富仁 | RO | Asset Management | 2017-07-27 | 2017-10-31 |
| AEF320 | CHEUNG Pak Kin, Patrick | 張柏堅 | RO | Dealing in Securities | 2017-07-28 | |
| AEF320 | CHEUNG Pak Kin, Patrick | 張柏堅 | RO | Advising on Securities | 2017-07-28 | |
| AEF320 | CHEUNG Pak Kin, Patrick | 張柏堅 | RO | Asset Management | 2017-10-30 | |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Dealing in Securities | 2005-09-27 | 2006-08-01 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Advising on Securities | 2005-09-22 | 2006-08-01 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Advising on Corporate Finance | 2005-09-27 | 2006-08-01 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Asset Management | 2005-09-27 | 2006-08-01 |
| AGE497 | KIM Chung Wan | 金清完 | RE | Dealing in Securities | 2018-05-04 | |
| AGE497 | KIM Chung Wan | 金清完 | RE | Advising on Securities | 2018-05-04 | |
| AGE497 | KIM Chung Wan | 金清完 | RE | Asset Management | 2018-05-04 | |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Dealing in Securities | 2003-04-01 | 2008-04-25 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Dealing in Futures Contracts | 2007-01-12 | 2008-04-25 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Advising on Securities | 2003-04-01 | 2008-04-25 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Advising on Futures Contracts | 2007-01-12 | 2008-04-25 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Advising on Corporate Finance | 2003-04-01 | 2008-04-25 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Asset Management | 2003-04-01 | 2008-04-25 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Dealing in Securities | 2003-04-01 | 2017-08-10 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Dealing in Futures Contracts | 2007-01-12 | 2017-07-24 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Advising on Securities | 2003-04-01 | 2017-08-10 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Advising on Futures Contracts | 2007-01-12 | 2017-07-07 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Advising on Corporate Finance | 2003-04-01 | 2014-10-15 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Asset Management | 2003-04-01 | 2017-08-10 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RE | Dealing in Securities | 2004-07-07 | 2005-10-20 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RO | Dealing in Securities | 2005-10-20 | 2009-08-31 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RE | Advising on Securities | 2004-07-07 | 2005-06-01 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RO | Advising on Securities | 2005-06-01 | 2009-08-31 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RO | Advising on Futures Contracts | 2006-05-25 | 2009-08-31 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RE | Advising on Corporate Finance | 2004-07-07 | 2005-06-01 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RO | Advising on Corporate Finance | 2005-06-01 | 2009-08-31 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RE | Asset Management | 2004-07-07 | 2005-06-01 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RO | Asset Management | 2005-06-01 | 2009-08-31 |
| AKX333 | TONG King Hang | 湯景恆 | RE | Dealing in Securities | 2004-07-07 | 2005-07-11 |
| AKX333 | TONG King Hang | 湯景恆 | RE | Advising on Securities | 2004-07-07 | 2005-06-01 |
| AKX333 | TONG King Hang | 湯景恆 | RO | Advising on Securities | 2005-06-01 | 2005-07-11 |
| AKX333 | TONG King Hang | 湯景恆 | RE | Advising on Corporate Finance | 2004-07-07 | 2005-06-01 |
| AKX333 | TONG King Hang | 湯景恆 | RO | Advising on Corporate Finance | 2005-06-01 | 2005-07-11 |
| AKX333 | TONG King Hang | 湯景恆 | RE | Asset Management | 2004-07-07 | 2005-06-01 |
| AKX333 | TONG King Hang | 湯景恆 | RO | Asset Management | 2005-06-01 | 2005-07-11 |
| ANV150 | LAU Jing Yeung, William | 劉正揚 | RE | Dealing in Securities | 2017-11-15 | 2018-01-19 |
| ANV150 | LAU Jing Yeung, William | 劉正揚 | RE | Advising on Securities | 2017-11-15 | 2018-01-19 |
| ANV150 | LAU Jing Yeung, William | 劉正揚 | RE | Asset Management | 2017-11-15 | 2018-01-19 |
| ARW637 | LI Yan | 李燕 | RE | Dealing in Securities | 2008-12-18 | 2016-02-19 |
| ARW637 | LI Yan | 李燕 | RE | Advising on Securities | 2008-12-18 | 2016-02-19 |
| ARW637 | LI Yan | 李燕 | RE | Asset Management | 2008-12-18 | 2016-02-19 |
| ARW650 | CHAN Tze Man | 陳子敏 | RE | Dealing in Securities | 2009-02-05 | 2010-07-27 |
| ARW650 | CHAN Tze Man | 陳子敏 | RE | Dealing in Futures Contracts | 2009-02-05 | 2010-07-27 |
| ARW650 | CHAN Tze Man | 陳子敏 | RE | Advising on Securities | 2009-02-05 | 2010-07-27 |
| ARW650 | CHAN Tze Man | 陳子敏 | RE | Advising on Futures Contracts | 2009-02-05 | 2010-07-27 |
| ARW650 | CHAN Tze Man | 陳子敏 | RE | Asset Management | 2009-02-05 | 2010-07-27 |
| ATX450 | TAM Tsz Chung | 譚子聰 | RE | Dealing in Securities | 2018-04-06 | |
| ATX450 | TAM Tsz Chung | 譚子聰 | RE | Advising on Securities | 2018-04-06 | |
| ATX450 | TAM Tsz Chung | 譚子聰 | RE | Asset Management | 2018-04-06 | |
| AUA794 | CHAN Lung Sang | 陳龍生 | RE | Dealing in Securities | 2017-09-13 | 2017-11-10 |
| AUA794 | CHAN Lung Sang | 陳龍生 | RO | Dealing in Securities | 2017-11-10 | 2018-01-18 |
| AUA794 | CHAN Lung Sang | 陳龍生 | RE | Advising on Securities | 2017-09-13 | 2017-11-10 |
| AUA794 | CHAN Lung Sang | 陳龍生 | RO | Advising on Securities | 2017-11-10 | 2018-01-18 |
| AUA794 | CHAN Lung Sang | 陳龍生 | RE | Asset Management | 2017-09-13 | 2018-01-18 |
| AWS896 | FUNG Koon Yan | 馮冠欣 | RE | Dealing in Securities | 2017-10-03 | |
| AWS896 | FUNG Koon Yan | 馮冠欣 | RE | Advising on Securities | 2018-08-06 | |
| AWS896 | FUNG Koon Yan | 馮冠欣 | RE | Asset Management | 2017-10-03 | |
| AXR403 | HO Pui Sze, Doris | 何珮詩 | RE | Dealing in Securities | 2018-05-11 | 2018-06-19 |
| AXR403 | HO Pui Sze, Doris | 何珮詩 | RE | Advising on Securities | 2018-05-11 | 2018-06-19 |
| AXR403 | HO Pui Sze, Doris | 何珮詩 | RE | Asset Management | 2018-05-11 | 2018-06-19 |
| BAY306 | PONG Cheuk Pun | 龐卓斌 | RE | Dealing in Securities | 2017-09-13 | 2017-11-10 |
| BAY306 | PONG Cheuk Pun | 龐卓斌 | RO | Dealing in Securities | 2017-11-10 | 2018-01-12 |
| BAY306 | PONG Cheuk Pun | 龐卓斌 | RE | Advising on Securities | 2017-09-13 | 2017-11-10 |
| BAY306 | PONG Cheuk Pun | 龐卓斌 | RO | Advising on Securities | 2017-11-10 | 2018-01-12 |
| BAY306 | PONG Cheuk Pun | 龐卓斌 | RE | Asset Management | 2017-09-13 | 2018-01-12 |
| BBM642 | WONG Chi-kit | 黃之傑 | RO | Dealing in Securities | 2017-07-31 | |
| BBM642 | WONG Chi-kit | 黃之傑 | RO | Advising on Securities | 2017-07-31 | |
| BBM642 | WONG Chi-kit | 黃之傑 | RO | Asset Management | 2017-07-31 | |
| BFU185 | WONG Chung Wai | 黃中慧 | RE | Dealing in Securities | 2018-07-30 | |
| BFU185 | WONG Chung Wai | 黃中慧 | RE | Advising on Securities | 2018-08-20 | |
| BFU185 | WONG Chung Wai | 黃中慧 | RE | Asset Management | 2018-08-20 | |
| BHJ769 | LEUNG Ka Kiu | 梁嘉喬 | RE | Dealing in Securities | 2018-05-31 | 2018-11-26 |
| BHJ769 | LEUNG Ka Kiu | 梁嘉喬 | RE | Advising on Securities | 2018-05-31 | 2018-11-26 |
| BHJ769 | LEUNG Ka Kiu | 梁嘉喬 | RE | Asset Management | 2018-05-31 | 2018-11-26 |
| BJT503 | CHEUNG On Ki | 張安琪 | RE | Dealing in Securities | 2018-09-03 | |
| BJT503 | CHEUNG On Ki | 張安琪 | RE | Advising on Securities | 2018-09-03 | |
| BJT503 | CHEUNG On Ki | 張安琪 | RE | Asset Management | 2018-09-03 | |
| BML398 | MAO Lei | 毛磊 | RE | Dealing in Securities | 2018-04-03 | |
| BML398 | MAO Lei | 毛磊 | RE | Advising on Securities | 2018-04-03 | |
| BML398 | MAO Lei | 毛磊 | RE | Asset Management | 2018-05-28 |
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