Hong Kong SFC licence institution ADU956, Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司

These are the licence-holders that were found for SFC licence institution ADU956 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
AAB154 HO Kwong Chak 何光澤 RO Advising on Securities 2003-04-01 2003-07-17
AAI312 YEUNG Shu Fan 楊樹勳 RO Advising on Securities 2008-09-05 2016-10-20
AAI312 YEUNG Shu Fan 楊樹勳 RO Asset Management 2008-09-05 2016-10-20
ABE984 CHAN Sok Yin, Sophia 陳淑妍 RE Advising on Securities 2006-07-04 2006-11-01
ABE984 CHAN Sok Yin, Sophia 陳淑妍 RE Asset Management 2006-07-04 2006-11-01
ABX782 CHU Wai Ling, Marianna 朱偉苓 RE Advising on Securities 2005-07-15 2008-09-16
ABX782 CHU Wai Ling, Marianna 朱偉苓 RE Asset Management 2005-07-15 2008-09-16
ABZ449 LO Chak Bong, Alfred Bing 盧澤邦 RE Advising on Securities 2008-09-08 2008-10-02
ABZ449 LO Chak Bong, Alfred Bing 盧澤邦 RO Advising on Securities 2003-04-01 2008-09-08
ABZ449 LO Chak Bong, Alfred Bing 盧澤邦 RE Asset Management 2008-09-08 2008-10-02
ABZ449 LO Chak Bong, Alfred Bing 盧澤邦 RO Asset Management 2003-04-01 2008-09-08
ACA716 CHAN Philip 陳菲臘 RE Advising on Securities 2008-07-08 2013-02-28
ACA716 CHAN Philip 陳菲臘 RE Asset Management 2008-07-08 2013-02-28
ACI008 LO Dune Yee, Theresa 羅端儀 RE Advising on Securities 2007-06-18 2008-05-21
ACI008 LO Dune Yee, Theresa 羅端儀 RE Asset Management 2007-07-30 2008-05-21
ADA238 FUNG Kwok On 馮國安 RE Advising on Securities 2013-12-24 2014-03-05
ADA238 FUNG Kwok On 馮國安 RO Advising on Securities 2014-03-05 2017-06-30
ADA238 FUNG Kwok On 馮國安 RE Asset Management 2013-12-24 2014-03-05
ADA238 FUNG Kwok On 馮國安 RO Asset Management 2014-03-05 2017-06-30
ADI840 LAM Man Hon, Geoffrey 林汶翰 RE Advising on Securities 2009-01-14 2009-04-15
ADI840 LAM Man Hon, Geoffrey 林汶翰 RO Advising on Securities 2009-04-15 2010-01-01
ADI840 LAM Man Hon, Geoffrey 林汶翰 RE Asset Management 2009-01-14 2009-04-15
ADI840 LAM Man Hon, Geoffrey 林汶翰 RO Asset Management 2009-04-15 2010-01-01
ADQ065 HO Ka Ki, Michelle 何家淇 RE Advising on Securities 2008-11-13 2011-09-15
ADQ065 HO Ka Ki, Michelle 何家淇 RE Asset Management 2008-11-13 2011-09-15
ADR743 WONG Kwok Ying 黃國英 RE Advising on Securities 2005-06-08 2005-07-29
ADR743 WONG Kwok Ying 黃國英 RO Advising on Securities 2005-07-29 2006-12-29
ADR743 WONG Kwok Ying 黃國英 RE Asset Management 2005-06-08 2005-07-29
ADR743 WONG Kwok Ying 黃國英 RO Asset Management 2005-07-29 2006-12-29
AEN591 GUO Chun 郭純 RO Advising on Securities 2003-04-01
AEN591 GUO Chun 郭純 RO Advising on Corporate Finance 2003-04-01 2003-05-23
AEN591 GUO Chun 郭純 RO Asset Management 2003-04-01
AEP551 KHAN Karima 簡家寶 RE Advising on Securities 2012-02-03 2014-05-12
AEP551 KHAN Karima 簡家寶 RE Asset Management 2012-02-03 2014-05-12
AFD151 CHOW Chee 周琦 RE Asset Management 2016-03-07 2018-07-06
AFU569 WONG Chin Pang 黃展鵬 RE Advising on Securities 2014-04-30 2014-08-29
AFU569 WONG Chin Pang 黃展鵬 RO Advising on Securities 2014-08-29 2018-07-15
AFU569 WONG Chin Pang 黃展鵬 RE Asset Management 2014-04-30 2014-08-29
AFU569 WONG Chin Pang 黃展鵬 RE Asset Management 2017-08-31 2018-07-15
AFU569 WONG Chin Pang 黃展鵬 RO Asset Management 2014-08-29 2017-08-31
AFV444 SIT Man Lung, Andrew 薛文龍 RE Asset Management 2016-05-19 2018-07-06
AFV860 LAI Kai Wing 黎啟榮 RE Asset Management 2005-05-18 2005-12-01
AGA955 CHEUNG Wing Lam 張永林 RE Advising on Securities 2008-04-15 2008-09-21
AGA955 CHEUNG Wing Lam 張永林 RE Asset Management 2008-04-15 2008-09-21
AGG947 CHUI Yin Fong 徐燕芳 RE Asset Management 2005-06-01 2007-05-23
AGI798 ZHENG Juan 鄭娟 RE Advising on Securities 2016-04-18 2016-08-17
AGI798 ZHENG Juan 鄭娟 RO Advising on Securities 2016-08-17
AGI798 ZHENG Juan 鄭娟 RE Asset Management 2016-04-18 2016-08-17
AGI798 ZHENG Juan 鄭娟 RO Asset Management 2016-08-17
AGL147 YAN Chi Kwan 顏志軍 RE Advising on Securities 2011-11-30 2012-02-03
AGL147 YAN Chi Kwan 顏志軍 RO Advising on Securities 2012-02-03 2013-11-22
AGL147 YAN Chi Kwan 顏志軍 RE Asset Management 2011-11-30 2012-02-03
AGL147 YAN Chi Kwan 顏志軍 RO Asset Management 2012-02-03 2013-11-22
AGS493 LEUNG Ching Wan, Catherine 梁靜筠 RE Asset Management 2005-06-08 2006-12-29
AIX144 CHAK Wai Wing 翟偉榮 RE Advising on Securities 2004-08-19 2005-01-17
AIX144 CHAK Wai Wing 翟偉榮 RE Advising on Securities 2008-08-25 2008-10-13
AIX144 CHAK Wai Wing 翟偉榮 RO Advising on Securities 2008-10-13 2011-03-01
AIX144 CHAK Wai Wing 翟偉榮 RE Asset Management 2004-08-19 2005-01-17
AIX144 CHAK Wai Wing 翟偉榮 RE Asset Management 2008-08-25 2008-10-13
AIX144 CHAK Wai Wing 翟偉榮 RO Asset Management 2008-10-13 2011-03-01
AJB639 MOU Alex Xinghai RE Advising on Securities 2009-04-27 2009-07-21
AJB639 MOU Alex Xinghai RE Advising on Securities 2017-04-11 2017-06-28
AJB639 MOU Alex Xinghai RO Advising on Securities 2009-07-21 2011-01-01
AJB639 MOU Alex Xinghai RO Advising on Securities 2017-06-28
AJB639 MOU Alex Xinghai RE Asset Management 2009-04-27 2009-07-21
AJB639 MOU Alex Xinghai RE Asset Management 2017-04-11 2017-06-28
AJB639 MOU Alex Xinghai RO Asset Management 2009-07-21 2011-01-01
AJB639 MOU Alex Xinghai RO Asset Management 2017-06-28
AJD966 WU Lici Leon Edward 伍禮慈 RE Advising on Securities 2011-01-27 2013-04-22
AJD966 WU Lici Leon Edward 伍禮慈 RE Asset Management 2011-01-27 2013-04-22
ALP809 BAI Youge 白又戈 RO Advising on Securities 2012-02-27 2016-03-05
ALP809 BAI Youge 白又戈 RO Asset Management 2012-01-17 2016-03-05
AMI195 VAZQUEZ NG Chau Po Teresa 吳秋寶 RE Advising on Securities 2010-01-25 2011-06-01
AMI195 VAZQUEZ NG Chau Po Teresa 吳秋寶 RE Asset Management 2010-01-25 2011-06-01
ANH755 LEUNG Suet Ying 梁雪瑩 RE Advising on Securities 2009-07-03 2011-06-13
ANH755 LEUNG Suet Ying 梁雪瑩 RE Asset Management 2009-07-03 2011-06-13
AOA650 CHEN Yuedong 陳跃东 RE Advising on Securities 2008-04-17 2014-10-23
AOA650 CHEN Yuedong 陳跃东 RE Asset Management 2008-04-22 2014-10-23
AOB610 YICK Kit Sum, Winsome 易潔心 RE Advising on Securities 2009-07-02 2012-01-01
AOB610 YICK Kit Sum, Winsome 易潔心 RE Asset Management 2009-07-02 2012-01-01
AOD025 WANG Ting 王婷 RE Advising on Securities 2006-12-04 2007-05-14
AOD025 WANG Ting 王婷 RE Asset Management 2006-12-04 2007-05-14
AOD040 KIR Eddie Jen 賈振綱 RE Advising on Securities 2009-07-06 2010-08-11
AOD040 KIR Eddie Jen 賈振綱 RE Asset Management 2009-07-06 2010-08-11
AOI988 YU Siwei 余思維 RE Asset Management 2006-12-29 2007-08-27
AQM111 SUNG Kyung Haw 成景花 RE Advising on Securities 2008-02-11 2008-08-21
AQM111 SUNG Kyung Haw 成景花 RE Asset Management 2008-02-11 2008-08-21
ARJ662 MA Jui Hsiang 馬瑞祥 RE Advising on Securities 2015-08-14 2015-11-21
ARJ662 MA Jui Hsiang 馬瑞祥 RE Asset Management 2015-08-14 2015-11-21
ARP067 YIN Chunmei 尹春梅 RE Advising on Securities 2008-09-08 2012-08-31
ARP067 YIN Chunmei 尹春梅 RO Advising on Securities 2012-08-31
ARP067 YIN Chunmei 尹春梅 RE Asset Management 2008-09-08 2012-08-31
ARP067 YIN Chunmei 尹春梅 RO Asset Management 2012-08-31
ARP099 CHIA An-pei 賈安霈 RE Advising on Securities 2009-07-27 2009-12-10
ARP099 CHIA An-pei 賈安霈 RO Advising on Securities 2018-04-24
ARP099 CHIA An-pei 賈安霈 RE Asset Management 2009-07-06 2009-12-10
ARP099 CHIA An-pei 賈安霈 RO Asset Management 2018-04-24
ASC732 LIU Yong 劉勇 RE Advising on Securities 2008-12-29 2011-06-11
ASC732 LIU Yong 劉勇 RE Asset Management 2008-12-29 2011-06-11
ASD331 ZHU Nanwei 朱南唯 RE Advising on Securities 2010-06-30 2016-05-07
ASD331 ZHU Nanwei 朱南唯 RE Asset Management 2010-06-30 2016-05-07
ATB475 HUS Chia Ching 徐嘉慶 RE Advising on Securities 2011-01-06 2011-02-14
ATB475 HUS Chia Ching 徐嘉慶 RO Advising on Securities 2011-02-14 2017-06-30
ATB475 HUS Chia Ching 徐嘉慶 RE Asset Management 2011-01-06 2011-02-14
ATB475 HUS Chia Ching 徐嘉慶 RO Asset Management 2011-02-14 2017-06-30
ATL572 YANG Wei 楊微 RE Advising on Securities 2009-07-29 2014-08-12
ATL572 YANG Wei 楊微 RE Asset Management 2009-07-29 2014-08-12
ATR686 XU Naijie 徐乃捷 RE Advising on Securities 2009-09-07 2010-08-14
ATR686 XU Naijie 徐乃捷 RE Asset Management 2009-09-07 2010-08-14
AUE706 LIU Wanyun 劉萬雲 RE Advising on Securities 2010-12-03 2011-01-24
AUE706 LIU Wanyun 劉萬雲 RO Advising on Securities 2011-01-24 2012-05-12
AUE706 LIU Wanyun 劉萬雲 RE Asset Management 2010-12-03 2011-01-24
AUE706 LIU Wanyun 劉萬雲 RO Asset Management 2011-01-24 2012-05-12
AUE973 ZHAO Sheng 趙晟 RE Advising on Securities 2009-12-16 2014-03-18
AUE973 ZHAO Sheng 趙晟 RE Asset Management 2009-12-16 2014-03-18
AUK435 WONG Sze Yuen, Marshal 黃思遠 RE Advising on Securities 2014-09-03
AUK435 WONG Sze Yuen, Marshal 黃思遠 RE Asset Management 2014-09-03
AUV853 PANG Lai Kwan 彭麗君 RE Advising on Securities 2014-08-27 2016-01-23
AUV853 PANG Lai Kwan 彭麗君 RE Asset Management 2014-08-27 2016-01-23
AVC111 NGAI Hoi Shan 魏海山 RE Advising on Securities 2010-04-28 2011-06-04
AVC111 NGAI Hoi Shan 魏海山 RE Asset Management 2010-04-28 2011-06-04
AVZ349 YIP Hao Huan 葉皓華 RE Advising on Securities 2010-10-04 2018-06-24
AVZ349 YIP Hao Huan 葉皓華 RE Asset Management 2010-10-04 2018-06-24
AWF438 WONG Teck Chit, Alfred 王德捷 RE Advising on Securities 2011-10-04 2012-01-13
AWF438 WONG Teck Chit, Alfred 王德捷 RO Advising on Securities 2012-01-13 2014-04-02
AWF438 WONG Teck Chit, Alfred 王德捷 RE Asset Management 2011-10-04 2012-01-13
AWF438 WONG Teck Chit, Alfred 王德捷 RO Asset Management 2012-01-13 2014-04-02
AWH879 TONG Mengshi 童夢石 RE Advising on Securities 2014-09-24 2017-01-30
AWH879 TONG Mengshi 童夢石 RE Asset Management 2014-09-24 2017-01-30
AWZ523 LUO Zenglong 羅增龍 RE Advising on Securities 2014-11-27
AWZ523 LUO Zenglong 羅增龍 RE Asset Management 2014-11-27
AXK090 CHOW Tak Chi, Gigi 周德芝 RE Advising on Securities 2013-02-18 2014-05-12
AXK090 CHOW Tak Chi, Gigi 周德芝 RE Asset Management 2013-02-18 2014-05-12
AYC302 ZHANG Cheng 章程 RE Advising on Securities 2012-08-13 2018-10-03
AYC302 ZHANG Cheng 章程 RE Asset Management 2012-03-12 2018-10-03
AYU557 MEI Wenjing 梅文靜 RE Advising on Securities 2016-09-15 2018-06-22
AYU557 MEI Wenjing 梅文靜 RE Asset Management 2016-09-15 2018-06-22
AYW787 HUANG Jiawen 黃賈雯 RE Advising on Securities 2012-01-27 2013-01-19
AYW787 HUANG Jiawen 黃賈雯 RE Asset Management 2012-01-27 2013-01-19
AYZ048 TAM Kin Wo 譚健和 RE Advising on Securities 2012-02-10 2013-05-20
AYZ048 TAM Kin Wo 譚健和 RE Asset Management 2012-02-10 2013-05-20
AZG394 QI Guangdong 祁廣東 RE Advising on Securities 2012-04-10 2014-07-02
AZG394 QI Guangdong 祁廣東 RE Asset Management 2012-04-10 2014-07-02
BCK283 CHUI Lap Pan 徐立斌 RE Advising on Securities 2018-07-13
BCK283 CHUI Lap Pan 徐立斌 RE Asset Management 2018-07-13
BDA475 FANG Yanlai 方燕來 RE Advising on Securities 2014-03-31
BDA475 FANG Yanlai 方燕來 RE Asset Management 2014-03-31
BEY955 XU Wei 許薇 RE Advising on Securities 2016-05-09
BEY955 XU Wei 許薇 RE Asset Management 2016-05-09
BFJ096 ZHU Jin 朱瑾 RE Advising on Securities 2017-12-05
BFJ096 ZHU Jin 朱瑾 RE Asset Management 2017-12-05
BHK457 LIU Zhongshu 劉鍾書 RE Advising on Securities 2016-05-27
BHK457 LIU Zhongshu 劉鍾書 RE Asset Management 2016-05-27
BHN811 LIU Chun Lung 廖俊龍 RE Advising on Securities 2016-06-10 2018-08-26
BHN811 LIU Chun Lung 廖俊龍 RE Asset Management 2016-06-10 2018-08-26
BIN264 LIANG Jijian 梁繼健 RE Advising on Securities 2016-11-10 2017-02-17
BIN264 LIANG Jijian 梁繼健 RE Asset Management 2016-11-10 2017-02-17
BIT510 LUO Weiqing 羅偉卿 RE Advising on Securities 2018-12-04
BIT510 LUO Weiqing 羅偉卿 RE Asset Management 2018-12-04
BIV840 HU Jingan 胡靜安 RE Advising on Securities 2017-04-06
BIV840 HU Jingan 胡靜安 RE Asset Management 2017-04-06
BKR063 ZHUANG Huihui 庄惠惠 RE Advising on Securities 2017-08-25 2018-10-05
BKR063 ZHUANG Huihui 庄惠惠 RE Asset Management 2017-08-25 2018-10-05
BKZ667 DENG Jun 鄧鈞 RE Advising on Securities 2017-09-28
BKZ667 DENG Jun 鄧鈞 RE Asset Management 2017-09-28
BMK651 ZHOU Min 周敏 RE Advising on Securities 2018-04-24
BMK651 ZHOU Min 周敏 RE Asset Management 2018-04-24
BNL589 LEE Ming Han 李明翰 RE Advising on Securities 2018-08-27
BNL589 LEE Ming Han 李明翰 RE Asset Management 2018-08-27

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