These are the licence-holders that were found for SFC licence institution ADJ150 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 | RE | Advising on Securities | 2011-07-18 | 2016-12-23 |
| AAD811 | KAM Pak Wah, Franklin | 金百華 | RO | Advising on Securities | 2016-12-23 | |
| AAD811 | KAM Pak Wah, Franklin | 金百華 | RE | Asset Management | 2011-07-18 | 2016-12-23 |
| AAD811 | KAM Pak Wah, Franklin | 金百華 | RO | Asset Management | 2016-12-23 | |
| AAD940 | LO Pui Leung | 羅霈良 | RO | Advising on Securities | 2006-02-23 | |
| AAD940 | LO Pui Leung | 羅霈良 | RO | Advising on Futures Contracts | 2006-08-09 | |
| AAD940 | LO Pui Leung | 羅霈良 | RE | Asset Management | 2005-12-09 | 2006-02-23 |
| AAD940 | LO Pui Leung | 羅霈良 | RO | Asset Management | 2006-02-23 | |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Advising on Securities | 2005-06-01 | 2016-12-28 |
| AAZ157 | FUKUNAGA Masato | 福永真人 | RO | Advising on Futures Contracts | 2006-05-23 | 2016-12-28 |
| 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 | 2016-12-28 |
| ABG936 | YAMAMOTO Masahiko | RO | Advising on Securities | 2003-04-01 | ||
| ABG936 | YAMAMOTO Masahiko | RO | Advising on Futures Contracts | 2006-05-23 | ||
| ABG936 | YAMAMOTO Masahiko | RO | Advising on Corporate Finance | 2003-04-01 | 2014-10-15 | |
| ABG936 | YAMAMOTO Masahiko | RO | Asset Management | 2003-04-01 | ||
| 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 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Advising on Securities | 2005-09-22 | 2011-05-24 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Advising on Futures Contracts | 2007-01-12 | 2011-05-24 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Advising on Corporate Finance | 2005-09-27 | 2011-05-24 |
| AEU886 | LEUNG Man Wai | 梁文偉 | RE | Asset Management | 2005-09-27 | 2011-05-24 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Advising on Securities | 2005-07-11 | 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 | 2005-07-11 | 2008-04-25 |
| AGK699 | CHAN Lap Kwan | 陳立群 | RE | Asset Management | 2005-07-11 | 2008-04-25 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Advising on Securities | 2005-07-11 | |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Advising on Futures Contracts | 2007-01-12 | |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Advising on Corporate Finance | 2005-07-11 | 2014-10-15 |
| AIO003 | CHAN Sai Ching | 陳世清 | RE | Asset Management | 2005-07-11 | |
| 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 | RO | Advising on Corporate Finance | 2005-06-01 | 2009-08-31 |
| AIS240 | FUJIWARA Shinya | 藤原伸哉 | RO | Asset Management | 2005-06-01 | 2009-08-31 |
| AKX333 | TONG King Hang | 湯景恆 | RO | Advising on Securities | 2005-06-01 | 2005-07-11 |
| 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 | RO | Asset Management | 2005-06-01 | 2005-07-11 |
| AQJ213 | KAY Yuen Ling, Fara | 紀婉玲 | RE | Advising on Securities | 2008-02-18 | 2011-05-13 |
| AQJ213 | KAY Yuen Ling, Fara | 紀婉玲 | RE | Advising on Futures Contracts | 2008-02-18 | 2011-05-13 |
| AQJ213 | KAY Yuen Ling, Fara | 紀婉玲 | RE | Asset Management | 2008-02-18 | 2011-05-13 |
| 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 | 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 |
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