Hong Kong SFC licence institution ADX009, Knight Capital Asia Limited 澧盈資本亞洲有限公司

These are the licence-holders that were found for SFC licence institution ADX009 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
AAX447 O'SULLIVAN Ian James RE Dealing in Securities 2008-10-27 2010-08-18
ACE273 MARTIN Paul RE Dealing in Securities 2009-06-26 2010-03-02
ADF976 BLENNERHASSETT David James RE Dealing in Securities 2010-09-09 2011-08-04
ADF976 BLENNERHASSETT David James RE Advising on Securities 2010-09-09 2011-08-04
AFE899 FU Wing Yan, Rebecca 傅穎欣 RE Dealing in Securities 2009-03-27 2010-04-19
AFN279 CHEN Chi Pang, Charles 陳子鵬 RE Dealing in Securities 2010-08-02 2011-05-31
AFN279 CHEN Chi Pang, Charles 陳子鵬 RE Advising on Securities 2010-08-02 2011-05-31
AFR853 STEWART Kyle William RO Dealing in Securities 2008-10-23 2011-08-12
AFR853 STEWART Kyle William RO Advising on Securities 2010-01-11 2011-08-12
AFT714 CHEUNG Angela On Ki 張安琪 RE Dealing in Securities 2013-02-25 2013-04-11
AFT822 STEPHENS John William RE Dealing in Securities 2010-09-09 2011-08-04
AFT822 STEPHENS John William RE Advising on Securities 2010-09-09 2011-01-05
AFT822 STEPHENS John William RO Advising on Securities 2011-01-05 2011-08-04
AIM307 HUANG Cliff Stevens 黃子明 RO Dealing in Securities 2009-07-22 2013-04-05
AIM307 HUANG Cliff Stevens 黃子明 RO Advising on Securities 2009-07-22 2011-08-12
AJC091 LEE Jong Song 李鐘松 RO Dealing in Securities 2009-07-22 2010-01-14
AJC091 LEE Jong Song 李鐘松 RO Advising on Securities 2009-07-22 2010-01-14
ALS349 ROGERS Neil Colin RE Dealing in Securities 2010-09-09 2011-08-04
ALS349 ROGERS Neil Colin RE Advising on Securities 2010-09-09 2011-08-04
AMF268 HOAD Benjamin Isaac RE Dealing in Securities 2009-04-09 2010-06-03
ANE312 ROBERTSON Guy Hamilton RE Dealing in Securities 2009-03-27 2011-08-04
AOS269 LAU Johnny Ka Ki 劉家棋 RE Dealing in Securities 2009-03-19 2011-08-04
APC101 LIN Wen Ching 林汶菁 RE Dealing in Securities 2010-06-08 2011-08-04
APC101 LIN Wen Ching 林汶菁 RE Advising on Securities 2010-06-08 2011-08-04
AQJ467 FRASIER Hamilton Reid RE Dealing in Securities 2010-09-06 2011-08-04
AQJ467 FRASIER Hamilton Reid RE Advising on Securities 2010-09-06 2011-08-04
ARI394 GOUGH Philip John RO Dealing in Securities 2008-10-23 2013-06-17
ARI395 HALL David Parkhurst RO Dealing in Securities 2008-10-23 2011-08-19
ARU094 KELLY Sean Robert RE Dealing in Securities 2008-11-17 2011-08-19
ASH792 ANDREWS Scott Carter RE Dealing in Securities 2011-02-09 2011-08-04
ASH792 ANDREWS Scott Carter RE Advising on Securities 2011-02-09 2011-08-04
ASI403 MURPHY Daniel Joseph RE Dealing in Securities 2009-01-23 2011-08-19
ASX744 BANSON Eric Laurea RO Dealing in Securities 2009-09-11 2010-01-14
ASX744 BANSON Eric Laurea RO Advising on Securities 2009-09-11 2010-01-14
ATV923 SUN Quanyong 孫全勇 RE Dealing in Securities 2009-09-29 2009-12-16
ATV923 SUN Quanyong 孫全勇 RE Advising on Securities 2009-09-29 2009-12-16
ATW710 LEE Kok Hung, Morse 李國雄 RE Dealing in Securities 2011-01-17 2011-08-04
ATW710 LEE Kok Hung, Morse 李國雄 RE Advising on Securities 2011-01-17 2011-08-04
AUC961 CHENG Yan Ting 鄭恩婷 RE Dealing in Securities 2009-11-11 2011-08-04
AUC961 CHENG Yan Ting 鄭恩婷 RE Advising on Securities 2009-11-11 2011-08-04
AUT718 BUCKWORTH Piers Edward Grainger RE Dealing in Securities 2010-10-26 2011-08-04
AUT718 BUCKWORTH Piers Edward Grainger RE Advising on Securities 2010-10-26 2011-08-04
AUZ302 STROVER Edward Jason RE Dealing in Securities 2010-09-27 2011-08-04
AUZ302 STROVER Edward Jason RE Advising on Securities 2010-09-27 2011-08-04
AVD365 LAI Zhiyong 賴智勇 RE Dealing in Securities 2010-05-12 2011-08-04
AVO954 NASSER Jonathan Colby RE Dealing in Securities 2010-07-29 2011-08-19
AVO954 NASSER Jonathan Colby RE Advising on Securities 2010-07-29 2011-08-04
AVO961 KEUM Howard Chang-Hwan RE Dealing in Securities 2010-07-29 2011-08-19
AVO961 KEUM Howard Chang-Hwan RE Advising on Securities 2010-07-29 2011-08-04
AVO978 HERMAN Neal Thomson RE Dealing in Securities 2010-07-29 2011-08-19
AVO978 HERMAN Neal Thomson RE Advising on Securities 2010-07-29 2011-08-04
AVQ399 ABBOTT Giles David Cameron RE Dealing in Securities 2010-09-10 2011-11-07
AVQ399 ABBOTT Giles David Cameron RO Dealing in Securities 2011-11-07 2011-12-19
AVQ399 ABBOTT Giles David Cameron RE Advising on Securities 2010-09-10 2011-08-12
AVX728 MARRABLE Timothy John RE Dealing in Securities 2010-09-30 2011-08-04
AVX728 MARRABLE Timothy John RE Advising on Securities 2010-09-30 2011-08-04
AWA426 HAPARNAS Tal RE Dealing in Securities 2010-10-11 2011-08-04
AWA426 HAPARNAS Tal RE Advising on Securities 2010-10-11 2011-08-04
AWS697 LAHAR Rebecca Anne RE Dealing in Securities 2011-01-31 2011-08-04
AWS697 LAHAR Rebecca Anne RE Advising on Securities 2011-01-31 2011-08-04
AWU568 SO Shun Wah 蘇順華 RE Dealing in Securities 2011-02-18 2011-08-04
AWU568 SO Shun Wah 蘇順華 RE Advising on Securities 2011-02-18 2011-08-04
AWW389 KIM James Yong Min 金容珉 RE Dealing in Securities 2011-03-25 2011-08-04
AWW389 KIM James Yong Min 金容珉 RE Advising on Securities 2011-03-25 2011-08-04
AZA823 LYONS Robert Keane RO Dealing in Securities 2012-05-17 2013-04-05
AZD153 MULLINEAUX Daniel James RO Dealing in Securities 2012-04-03 2012-10-03

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