Hong Kong SFC licence institution ADX555, AllianceBernstein Hong Kong Limited 聯博香港有限公司

These are the licence-holders that were found for SFC licence institution ADX555 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
AAW726 EDWARDS Antony James RE Dealing in Securities 2007-04-23 2007-07-31
AAW726 EDWARDS Antony James RO Dealing in Securities 2007-07-31 2009-09-25
AAW726 EDWARDS Antony James RE Dealing in Futures Contracts 2007-03-12 2009-09-25
AAW726 EDWARDS Antony James RE Advising on Securities 2005-07-11 2005-07-14
AAW726 EDWARDS Antony James RE Advising on Securities 2005-09-05 2005-09-06
AAW726 EDWARDS Antony James RE Advising on Securities 2006-02-15 2006-02-17
AAW726 EDWARDS Antony James RE Advising on Securities 2006-03-28 2006-04-02
AAW726 EDWARDS Antony James RE Advising on Securities 2006-07-10 2006-07-14
AAW726 EDWARDS Antony James RE Advising on Securities 2006-08-22 2006-09-08
AAW726 EDWARDS Antony James RE Advising on Securities 2007-04-23 2007-07-31
AAW726 EDWARDS Antony James RO Advising on Securities 2007-07-31 2009-09-25
AAW726 EDWARDS Antony James RE Advising on Futures Contracts 2007-03-12 2009-09-25
AAW726 EDWARDS Antony James RE Asset Management 2007-04-23 2007-07-31
AAW726 EDWARDS Antony James RO Asset Management 2007-07-31 2009-09-25
AAZ188 TON Suzanne To Quan 孫素君 RE Dealing in Securities 2003-08-26 2006-12-12
AAZ188 TON Suzanne To Quan 孫素君 RO Dealing in Securities 2006-12-12 2009-04-02
AAZ188 TON Suzanne To Quan 孫素君 RE Advising on Securities 2003-08-26 2006-12-12
AAZ188 TON Suzanne To Quan 孫素君 RO Advising on Securities 2006-12-12 2009-04-02
AAZ188 TON Suzanne To Quan 孫素君 RE Advising on Futures Contracts 2006-12-12 2009-04-02
AAZ188 TON Suzanne To Quan 孫素君 RE Asset Management 2006-12-12 2009-04-02
ABC020 CHAN Kai Lung, Patrick 陳啟龍 RO Dealing in Securities 2003-04-01 2006-05-02
ABC020 CHAN Kai Lung, Patrick 陳啟龍 RO Advising on Securities 2003-04-01 2006-05-02
ABC020 CHAN Kai Lung, Patrick 陳啟龍 RO Advising on Futures Contracts 2003-04-01 2006-05-02
ABC020 CHAN Kai Lung, Patrick 陳啟龍 RO Advising on Corporate Finance 2003-04-01 2004-05-07
ABC020 CHAN Kai Lung, Patrick 陳啟龍 RO Asset Management 2003-04-01 2006-05-02
ABI731 LIN Celina 林茱 RE Advising on Securities 2013-12-31
ABI731 LIN Celina 林茱 RE Asset Management 2013-12-31
ACB873 YUNG Chun Kwok 翁振國 RE Dealing in Securities 2003-04-01 2008-07-05
ACB873 YUNG Chun Kwok 翁振國 RE Dealing in Securities 2008-11-28 2014-12-11
ACB873 YUNG Chun Kwok 翁振國 RE Advising on Securities 2003-04-01 2008-07-05
ACB873 YUNG Chun Kwok 翁振國 RE Advising on Securities 2008-11-28 2014-12-11
ACB873 YUNG Chun Kwok 翁振國 RE Advising on Corporate Finance 2003-04-01 2004-02-24
ACB873 YUNG Chun Kwok 翁振國 RE Asset Management 2003-04-01 2004-02-24
ACC119 LEE Wai Shun, Matthew 李維信 RO Dealing in Securities 2003-08-05 2005-11-16
ACC119 LEE Wai Shun, Matthew 李維信 RE Advising on Securities 2003-04-01 2003-08-05
ACC119 LEE Wai Shun, Matthew 李維信 RO Advising on Securities 2003-08-05 2005-11-16
ACC119 LEE Wai Shun, Matthew 李維信 RE Advising on Futures Contracts 2003-04-01 2003-08-05
ACC119 LEE Wai Shun, Matthew 李維信 RO Advising on Futures Contracts 2003-08-05 2005-11-16
ACC119 LEE Wai Shun, Matthew 李維信 RE Advising on Corporate Finance 2003-04-01 2003-07-08
ACC119 LEE Wai Shun, Matthew 李維信 RE Asset Management 2003-04-01 2003-08-05
ACC119 LEE Wai Shun, Matthew 李維信 RO Asset Management 2003-08-05 2005-11-16
ACJ620 KWOK Cheong Ping, Charles 郭昌平 RE Dealing in Securities 2009-09-25 2011-03-28
ACJ620 KWOK Cheong Ping, Charles 郭昌平 RE Advising on Securities 2009-09-25 2011-03-28
ACJ620 KWOK Cheong Ping, Charles 郭昌平 RE Advising on Futures Contracts 2009-09-25 2011-03-28
ACJ620 KWOK Cheong Ping, Charles 郭昌平 RE Asset Management 2009-09-01 2011-03-28
ACL614 WONG Wing Hang, Dominic 王永鏗 RE Dealing in Securities 2003-04-01 2004-02-23
ACL614 WONG Wing Hang, Dominic 王永鏗 RE Advising on Securities 2003-04-01 2004-02-23
ACL614 WONG Wing Hang, Dominic 王永鏗 RE Advising on Corporate Finance 2003-04-01 2004-02-02
ACL614 WONG Wing Hang, Dominic 王永鏗 RE Asset Management 2003-04-01 2004-02-02
ACQ057 CHAN Cho Kit, Anthony 陳祖傑 RE Advising on Securities 2003-04-01 2018-04-10
ACQ057 CHAN Cho Kit, Anthony 陳祖傑 RE Advising on Corporate Finance 2003-04-01 2004-02-24
ACQ057 CHAN Cho Kit, Anthony 陳祖傑 RE Asset Management 2003-04-01 2004-02-24
ACS213 WONG Wai Man, June 黃慧敏 RE Dealing in Securities 2004-03-03 2006-11-07
ACS213 WONG Wai Man, June 黃慧敏 RO Dealing in Securities 2006-11-07 2011-09-06
ACS213 WONG Wai Man, June 黃慧敏 RE Advising on Securities 2004-03-03 2006-11-07
ACS213 WONG Wai Man, June 黃慧敏 RO Advising on Securities 2006-11-07 2011-09-06
ACS213 WONG Wai Man, June 黃慧敏 RE Advising on Futures Contracts 2006-11-07 2011-07-15
ACS213 WONG Wai Man, June 黃慧敏 RE Asset Management 2004-03-03 2006-11-07
ACS213 WONG Wai Man, June 黃慧敏 RO Asset Management 2006-11-07 2011-09-06
ACS438 YAO Alex Krystal 姚文詠 RE Dealing in Securities 2006-07-20 2008-05-30
ACS438 YAO Alex Krystal 姚文詠 RE Advising on Securities 2003-08-30 2006-08-07
ACS438 YAO Alex Krystal 姚文詠 RO Advising on Securities 2006-08-07 2008-05-30
ACS438 YAO Alex Krystal 姚文詠 RE Advising on Futures Contracts 2006-07-20 2008-05-30
ACS438 YAO Alex Krystal 姚文詠 RE Asset Management 2006-07-20 2008-05-30
ADA909 LEUNG Bik Han, Lilian 梁碧嫻 RE Advising on Securities 2009-05-04 2010-04-16
ADA909 LEUNG Bik Han, Lilian 梁碧嫻 RE Asset Management 2009-05-04 2010-04-16
ADN272 CHOI Wai 蔡慧 RE Advising on Securities 2009-04-30 2012-02-16
ADP699 COX Mark Henry 郭馬克 RE Dealing in Securities 2010-08-26 2011-10-24
ADP699 COX Mark Henry 郭馬克 RE Advising on Securities 2010-08-26 2011-10-24
ADP750 RUAN David Ching Chi RE Dealing in Securities 2003-04-01 2004-03-22
ADP750 RUAN David Ching Chi RE Advising on Securities 2003-04-01 2004-03-22
ADP750 RUAN David Ching Chi RE Advising on Futures Contracts 2003-04-01 2004-03-22
ADP750 RUAN David Ching Chi RE Advising on Corporate Finance 2003-04-01 2004-02-02
ADP750 RUAN David Ching Chi RE Asset Management 2003-04-01 2004-03-22
ADQ243 MUBAYI Piyush RE Dealing in Securities 2007-02-06 2007-09-22
ADQ243 MUBAYI Piyush RE Advising on Securities 2007-02-06 2007-09-22
ADQ243 MUBAYI Piyush RE Advising on Futures Contracts 2007-02-06 2007-09-22
ADQ243 MUBAYI Piyush RE Asset Management 2007-02-06 2007-09-22
ADR277 TSE Ka Wai, Jaff 謝家威 RE Dealing in Securities 2010-10-11 2011-10-24
ADR277 TSE Ka Wai, Jaff 謝家威 RE Advising on Securities 2010-10-11 2011-10-24
ADS873 WONG Oi Ling, Irene 黃愛玲 RE Dealing in Securities 2010-07-16 2010-09-10
ADS873 WONG Oi Ling, Irene 黃愛玲 RE Dealing in Futures Contracts 2010-07-16 2010-09-10
ADS873 WONG Oi Ling, Irene 黃愛玲 RE Advising on Securities 2010-07-16 2010-09-10
ADS873 WONG Oi Ling, Irene 黃愛玲 RE Advising on Futures Contracts 2010-07-16 2010-09-10
ADS873 WONG Oi Ling, Irene 黃愛玲 RE Asset Management 2010-07-16 2010-09-10
AEE209 YU Vernon Ka Leung RE Dealing in Securities 2006-06-09 2011-04-08
AEE209 YU Vernon Ka Leung RE Advising on Securities 2005-01-19 2006-06-16
AEE209 YU Vernon Ka Leung RO Advising on Securities 2006-06-16 2011-04-08
AEE209 YU Vernon Ka Leung RE Advising on Futures Contracts 2006-06-09 2011-04-08
AEE209 YU Vernon Ka Leung RE Asset Management 2005-01-19 2006-06-16
AEE209 YU Vernon Ka Leung RO Asset Management 2006-06-16 2011-04-08
AEG765 LAM Cherin Sze Ning 林詩寧 RE Dealing in Securities 2006-08-01 2008-11-03
AEG765 LAM Cherin Sze Ning 林詩寧 RE Advising on Securities 2006-08-01 2008-11-03
AEH756 WONG Tsan Man, Chapman 黃燦文 RE Dealing in Securities 2004-08-13
AEH756 WONG Tsan Man, Chapman 黃燦文 RE Advising on Securities 2004-08-13
AEI015 LAW Chung Hang, Albert 羅重恆 RE Dealing in Securities 2009-06-17 2012-01-12
AEI015 LAW Chung Hang, Albert 羅重恆 RO Dealing in Securities 2012-01-12 2012-02-22
AEI015 LAW Chung Hang, Albert 羅重恆 RE Dealing in Futures Contracts 2009-07-17 2012-01-12
AEI015 LAW Chung Hang, Albert 羅重恆 RO Dealing in Futures Contracts 2012-01-12 2012-02-22
AEI015 LAW Chung Hang, Albert 羅重恆 RE Advising on Securities 2009-07-17 2012-01-12
AEI015 LAW Chung Hang, Albert 羅重恆 RO Advising on Securities 2012-01-12 2012-02-22
AEI015 LAW Chung Hang, Albert 羅重恆 RE Advising on Futures Contracts 2009-07-17 2012-01-12
AEI015 LAW Chung Hang, Albert 羅重恆 RO Advising on Futures Contracts 2012-01-12 2012-02-22
AEI015 LAW Chung Hang, Albert 羅重恆 RE Asset Management 2009-06-17 2012-02-22
AER025 HENRICKS Peter Jarvis RO Dealing in Securities 2003-04-01 2003-06-30
AER025 HENRICKS Peter Jarvis RO Advising on Securities 2003-04-01 2003-06-30
AER025 HENRICKS Peter Jarvis RO Advising on Futures Contracts 2003-04-01 2003-06-30
AER025 HENRICKS Peter Jarvis RO Advising on Corporate Finance 2003-04-01 2003-06-30
AER025 HENRICKS Peter Jarvis RO Asset Management 2003-04-01 2003-06-30
AEX961 HUI Wan Yee 許韻兒 RE Advising on Securities 2009-08-24 2011-10-18
AFF074 WONG David Nicholas RE Dealing in Securities 2015-03-05
AFF074 WONG David Nicholas RE Advising on Securities 2015-03-05
AFF074 WONG David Nicholas RE Asset Management 2015-03-05 2017-12-15
AFF074 WONG David Nicholas RO Asset Management 2017-12-15
AFK637 NYDICK Jay Scott RE Advising on Securities 2010-01-26 2010-01-29
AFK637 NYDICK Jay Scott RE Advising on Securities 2010-07-12 2010-07-15
AFM350 LI Kam Mui, Wendy 李金梅 RE Dealing in Securities 2003-04-01 2009-03-30
AFM350 LI Kam Mui, Wendy 李金梅 RE Advising on Securities 2003-04-01 2009-03-30
AFM350 LI Kam Mui, Wendy 李金梅 RE Advising on Corporate Finance 2003-04-01 2004-02-24
AFM350 LI Kam Mui, Wendy 李金梅 RE Asset Management 2003-04-01 2004-02-24
AFQ011 CHAN Sze Wan, Sandy 陳詩蘊 RE Advising on Securities 2003-04-01 2005-09-01
AFQ011 CHAN Sze Wan, Sandy 陳詩蘊 RE Advising on Corporate Finance 2003-04-01 2004-03-03
AFQ011 CHAN Sze Wan, Sandy 陳詩蘊 RE Asset Management 2003-04-01 2004-03-03
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Dealing in Securities 2011-01-13
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Dealing in Futures Contracts 2016-06-03
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Advising on Securities 2010-07-21 2010-08-16
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Advising on Securities 2010-10-18 2010-11-10
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Advising on Securities 2011-01-13
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Advising on Futures Contracts 2016-06-03
AFR655 LIANG Man Wei, Jonathan 梁文偉 RE Asset Management 2016-06-03
AFT408 ZHANG Guojia 張國嘉 RE Advising on Securities 2012-02-09
AFT408 ZHANG Guojia 張國嘉 RE Asset Management 2013-04-12
AFY974 LEE Wai Chung, Deborah 李慧中 RE Dealing in Securities 2005-04-13 2009-02-18
AFY974 LEE Wai Chung, Deborah 李慧中 RE Advising on Securities 2005-04-13 2009-02-18
AFY974 LEE Wai Chung, Deborah 李慧中 RE Asset Management 2005-04-13 2009-02-18
AFZ530 TIN Kin Yip, Keynes 田建業 RE Dealing in Securities 2011-11-28
AFZ530 TIN Kin Yip, Keynes 田建業 RE Advising on Securities 2011-11-28
AGA429 LAM Chi Kwan 林志坤 RE Dealing in Securities 2007-07-17 2009-01-01
AGA429 LAM Chi Kwan 林志坤 RE Dealing in Futures Contracts 2007-09-17 2009-01-01
AGA429 LAM Chi Kwan 林志坤 RE Advising on Securities 2007-09-17 2009-01-01
AGA429 LAM Chi Kwan 林志坤 RE Advising on Futures Contracts 2007-09-17 2009-01-01
AGA429 LAM Chi Kwan 林志坤 RE Asset Management 2007-09-17 2009-01-01
AGE869 LIN John Jen-ho RE Dealing in Securities 2016-03-24
AGE869 LIN John Jen-ho RE Advising on Securities 2008-12-12
AGE869 LIN John Jen-ho RE Asset Management 2013-04-15
AGF156 CHOW Kin Hung 鄒建雄 RE Dealing in Securities 2004-05-31 2016-07-14
AGF156 CHOW Kin Hung 鄒建雄 RO Dealing in Securities 2016-07-14
AGF156 CHOW Kin Hung 鄒建雄 RE Advising on Securities 2004-05-31 2016-07-14
AGF156 CHOW Kin Hung 鄒建雄 RO Advising on Securities 2016-07-14
AGG379 CHAN Chung Fai, Benjamin 陳頌暉 RE Dealing in Securities 2003-04-01 2006-12-01
AGG379 CHAN Chung Fai, Benjamin 陳頌暉 RE Advising on Securities 2003-04-01 2006-12-01
AGG379 CHAN Chung Fai, Benjamin 陳頌暉 RE Advising on Futures Contracts 2004-05-27 2004-12-15
AGG379 CHAN Chung Fai, Benjamin 陳頌暉 RE Advising on Futures Contracts 2005-03-03 2006-12-01
AGG379 CHAN Chung Fai, Benjamin 陳頌暉 RE Advising on Corporate Finance 2003-04-01 2004-02-24
AGG379 CHAN Chung Fai, Benjamin 陳頌暉 RE Asset Management 2003-04-01 2006-12-01
AGL868 POON Ka Yee Joanna 潘嘉怡 RE Advising on Securities 2009-07-17 2009-08-08
AGW283 WEI Stephen J 魏嘉興 RE Advising on Securities 2013-08-12
AHE138 GORDON Daniel RE Dealing in Securities 2010-06-21 2010-09-07
AHE138 GORDON Daniel RO Dealing in Securities 2010-09-07 2011-10-24
AHE138 GORDON Daniel RE Advising on Securities 2010-06-21 2010-09-07
AHE138 GORDON Daniel RO Advising on Securities 2010-09-07 2011-10-24
AIB370 YIM Yeuk King, Claire 嚴若瓊 RE Dealing in Securities 2003-04-01 2005-07-29
AIB370 YIM Yeuk King, Claire 嚴若瓊 RE Advising on Securities 2003-04-01 2005-07-29
AIB370 YIM Yeuk King, Claire 嚴若瓊 RE Advising on Corporate Finance 2003-04-01 2004-02-24
AIB370 YIM Yeuk King, Claire 嚴若瓊 RE Asset Management 2003-04-01 2004-02-24
AIG183 CHUNG Sze Kie, Daisy 鍾詩琪 RE Dealing in Securities 2003-04-01
AIG183 CHUNG Sze Kie, Daisy 鍾詩琪 RE Advising on Securities 2003-04-01
AIG183 CHUNG Sze Kie, Daisy 鍾詩琪 RE Advising on Corporate Finance 2003-04-01 2004-02-24
AIG183 CHUNG Sze Kie, Daisy 鍾詩琪 RE Asset Management 2003-04-01 2004-02-24
AIL123 KO Raymond 高力文 RE Dealing in Securities 2010-10-04 2011-10-24
AIL123 KO Raymond 高力文 RE Advising on Securities 2010-10-04 2011-10-24
AIU616 FORD Benjamin Christopher George RE Dealing in Securities 2003-05-29 2003-08-27
AIU616 FORD Benjamin Christopher George RE Advising on Securities 2003-05-29 2003-08-27
AIU616 FORD Benjamin Christopher George RE Asset Management 2003-05-29 2003-08-27
AJB550 CHOW Wai Tat, Richard 周偉達 RE Dealing in Securities 2003-12-16 2012-03-30
AJB550 CHOW Wai Tat, Richard 周偉達 RE Advising on Securities 2003-08-01 2011-09-16
AJB550 CHOW Wai Tat, Richard 周偉達 RO Advising on Securities 2011-09-16 2012-03-30
AJB550 CHOW Wai Tat, Richard 周偉達 RE Advising on Futures Contracts 2003-12-16 2006-01-03
AJB550 CHOW Wai Tat, Richard 周偉達 RE Asset Management 2003-12-16 2011-09-16
AJB550 CHOW Wai Tat, Richard 周偉達 RO Asset Management 2011-09-16 2012-03-30
AJB572 WONG Lily Lillian 黃麗麗 RO Dealing in Securities 2003-10-16 2004-05-14
AJB572 WONG Lily Lillian 黃麗麗 RO Advising on Securities 2003-10-16 2004-05-14
AJB572 WONG Lily Lillian 黃麗麗 RO Advising on Futures Contracts 2003-10-16 2004-05-14
AJB572 WONG Lily Lillian 黃麗麗 RO Asset Management 2003-10-16 2004-05-14
AJE920 KAUL Ajai Mohan RE Dealing in Securities 2003-10-15 2004-06-09
AJE920 KAUL Ajai Mohan RO Dealing in Securities 2004-06-09
AJE920 KAUL Ajai Mohan RO Dealing in Futures Contracts 2011-08-22
AJE920 KAUL Ajai Mohan RE Advising on Securities 2003-10-15 2004-06-09
AJE920 KAUL Ajai Mohan RO Advising on Securities 2004-06-09
AJE920 KAUL Ajai Mohan RE Advising on Futures Contracts 2003-10-15 2004-06-09
AJE920 KAUL Ajai Mohan RO Advising on Futures Contracts 2004-06-09
AJE920 KAUL Ajai Mohan RE Asset Management 2003-10-15 2004-06-09
AJE920 KAUL Ajai Mohan RO Asset Management 2004-06-09
AJF874 LI Philip Yee Lap 李以立 RE Dealing in Securities 2006-06-15 2008-02-03
AJF874 LI Philip Yee Lap 李以立 RE Advising on Securities 2006-06-15 2008-02-03
AJF874 LI Philip Yee Lap 李以立 RE Advising on Futures Contracts 2006-06-15 2008-02-03
AJF874 LI Philip Yee Lap 李以立 RE Asset Management 2006-06-15 2008-02-03
AJH028 EBRAHIM Aadil Cumer RE Advising on Securities 2013-12-31 2014-12-11
AJH028 EBRAHIM Aadil Cumer RE Asset Management 2013-12-31 2014-12-11
ALB229 LEE Dokyoung RE Dealing in Securities 2006-07-25 2009-10-12
ALB229 LEE Dokyoung RE Advising on Securities 2004-08-05 2004-08-06
ALB229 LEE Dokyoung RE Advising on Securities 2005-01-27 2005-01-29
ALB229 LEE Dokyoung RE Advising on Securities 2005-04-14 2005-04-15
ALB229 LEE Dokyoung RE Advising on Securities 2005-05-17 2005-05-19
ALB229 LEE Dokyoung RE Advising on Securities 2005-07-11 2005-07-13
ALB229 LEE Dokyoung RE Advising on Securities 2005-07-28 2005-07-29
ALB229 LEE Dokyoung RE Advising on Securities 2005-08-16 2005-08-17
ALB229 LEE Dokyoung RE Advising on Securities 2005-09-08 2005-09-10
ALB229 LEE Dokyoung RE Advising on Securities 2005-10-26 2005-10-27
ALB229 LEE Dokyoung RE Advising on Securities 2005-11-14 2005-11-18
ALB229 LEE Dokyoung RE Advising on Securities 2006-01-18 2006-01-20
ALB229 LEE Dokyoung RE Advising on Securities 2006-03-28 2006-03-29
ALB229 LEE Dokyoung RE Advising on Securities 2006-04-11 2006-04-13
ALB229 LEE Dokyoung RE Advising on Securities 2006-04-28 2006-04-29
ALB229 LEE Dokyoung RE Advising on Securities 2006-05-18 2006-05-19
ALB229 LEE Dokyoung RE Advising on Securities 2006-07-25 2009-10-12
ALB229 LEE Dokyoung RE Advising on Futures Contracts 2006-07-25 2009-10-12
ALB229 LEE Dokyoung RE Asset Management 2006-07-25 2009-10-12
ALE789 YUOH Kewjin RE Advising on Securities 2004-08-30 2004-08-31
ALE789 YUOH Kewjin RE Advising on Securities 2009-04-20 2009-04-24
ALF653 MOSER Kent Sanford RE Advising on Securities 2004-09-13 2004-09-15
ALH777 MASTERS Seth RE Advising on Securities 2004-10-04 2004-10-05
ALH777 MASTERS Seth RE Advising on Securities 2004-12-07 2004-12-08
ALH777 MASTERS Seth RE Advising on Securities 2005-07-08 2005-07-14
ALH777 MASTERS Seth RE Advising on Securities 2005-12-05 2005-12-06
ALH777 MASTERS Seth RE Advising on Securities 2006-03-01 2006-03-02
ALH777 MASTERS Seth RE Advising on Securities 2007-03-21 2007-03-23
ALH777 MASTERS Seth RE Advising on Securities 2007-12-03 2007-12-08
ALH777 MASTERS Seth RE Advising on Securities 2009-02-23 2009-02-25
ALH777 MASTERS Seth RE Advising on Securities 2009-11-18 2009-11-20
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2004-10-25 2004-10-29
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2004-11-12 2004-11-15
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2005-02-01 2005-02-06
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2005-08-25 2005-08-31
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2005-11-16 2005-11-18
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2006-03-08 2006-03-10
ALI616 TURNBOUGH David Rodger RE Advising on Securities 2006-07-17 2006-07-19
ALK159 LIEBERMAN Gerald Michael RE Advising on Securities 2005-09-27 2005-09-28
ALK159 LIEBERMAN Gerald Michael RO Advising on Securities 2007-03-20 2007-03-22
ALK159 LIEBERMAN Gerald Michael RO Advising on Securities 2008-06-04 2008-06-07
ALK192 CHEH Augustus Wing Chun 車永俊 RO Dealing in Securities 2004-12-29 2011-01-27
ALK192 CHEH Augustus Wing Chun 車永俊 RO Dealing in Futures Contracts 2006-10-05 2011-01-27
ALK192 CHEH Augustus Wing Chun 車永俊 RO Advising on Securities 2004-12-29 2011-01-27
ALK192 CHEH Augustus Wing Chun 車永俊 RO Advising on Futures Contracts 2004-12-29 2011-01-27
ALK192 CHEH Augustus Wing Chun 車永俊 RO Asset Management 2004-12-29 2011-01-27
ALO227 CHIN Andrew Yee Choon RE Advising on Securities 2005-01-10 2005-01-14
ALP908 SANDERS Lewis Alan RE Advising on Securities 2005-01-25 2005-01-27
ALP908 SANDERS Lewis Alan RE Advising on Securities 2005-04-14 2005-04-16
ALP908 SANDERS Lewis Alan RE Advising on Securities 2005-07-11 2005-07-14
ALP908 SANDERS Lewis Alan RE Advising on Securities 2007-06-04 2007-06-12
ALP919 DEAHL Jan David RE Dealing in Securities 2005-02-17 2007-12-31
ALP919 DEAHL Jan David RE Advising on Securities 2005-02-17 2007-12-31
ALP933 SEABOLT Christopher John RE Dealing in Securities 2005-02-24 2007-08-16
ALP933 SEABOLT Christopher John RO Dealing in Futures Contracts 2006-10-05 2007-08-16
ALP933 SEABOLT Christopher John RE Advising on Securities 2006-05-17 2007-08-16
ALP933 SEABOLT Christopher John RE Advising on Futures Contracts 2005-02-24 2007-08-16
ALP933 SEABOLT Christopher John RE Asset Management 2006-05-17 2007-08-16
ALQ684 TAM Tak Yan, Joyce 譚德恩 RE Dealing in Securities 2005-06-10 2008-10-31
ALQ684 TAM Tak Yan, Joyce 譚德恩 RE Advising on Securities 2005-06-10 2008-10-31
ALQ729 RUDDEN Patrick Joseph RE Advising on Securities 2005-01-20 2005-01-21
ALQ729 RUDDEN Patrick Joseph RE Advising on Securities 2006-10-11 2006-10-13
ALQ729 RUDDEN Patrick Joseph RE Advising on Securities 2007-08-14 2007-08-18
ALQ729 RUDDEN Patrick Joseph RE Advising on Securities 2009-06-15 2009-07-15
ALQ729 RUDDEN Patrick Joseph RE Advising on Securities 2010-09-06 2010-09-08
ALR945 LI CHAN Kam Ling 李陳金玲 RE Advising on Securities 2005-02-02 2005-06-03
ALR945 LI CHAN Kam Ling 李陳金玲 RE Asset Management 2005-02-02 2005-06-03
ALS081 TSAI Benjamin Sung-ping RE Advising on Securities 2013-11-13 2015-12-08
ALS081 TSAI Benjamin Sung-ping RE Advising on Securities 2016-01-19 2016-01-20
ALS081 TSAI Benjamin Sung-ping RE Asset Management 2013-11-13 2015-12-08
ALY371 DE NOON Paul Joseph RE Dealing in Securities 2014-07-09 2014-07-10
ALY371 DE NOON Paul Joseph RE Dealing in Securities 2015-04-17 2015-04-21
ALY371 DE NOON Paul Joseph RE Dealing in Securities 2016-01-20 2016-01-25
ALY371 DE NOON Paul Joseph RE Dealing in Securities 2016-12-05 2016-12-06
ALY371 DE NOON Paul Joseph RE Dealing in Securities 2018-01-08 2018-01-17
ALY371 DE NOON Paul Joseph RE Dealing in Securities 2018-06-04 2018-06-05
ALY371 DE NOON Paul Joseph RE Advising on Securities 2005-04-25 2005-04-26
ALY371 DE NOON Paul Joseph RE Advising on Securities 2009-09-14 2009-09-18
ALY371 DE NOON Paul Joseph RE Advising on Securities 2011-06-20 2011-06-23
ALY371 DE NOON Paul Joseph RE Advising on Securities 2011-11-28 2011-12-02
ALY371 DE NOON Paul Joseph RE Advising on Securities 2012-04-16 2012-04-17
ALY371 DE NOON Paul Joseph RE Advising on Securities 2012-10-22 2012-10-22
ALY371 DE NOON Paul Joseph RE Advising on Securities 2013-11-15 2013-11-18
ALY371 DE NOON Paul Joseph RE Advising on Securities 2018-06-04 2018-06-05
AMA046 DRYZGULA Robert Albert RE Advising on Securities 2005-05-23 2005-08-20
AMB339 WONG Yau Nang 王祐能 RE Dealing in Securities 2005-07-26 2009-01-16
AMB339 WONG Yau Nang 王祐能 RE Advising on Securities 2005-07-26 2009-01-16
AMB339 WONG Yau Nang 王祐能 RE Advising on Futures Contracts 2008-04-03 2009-01-16
AMB606 MARTINI Giulio RE Advising on Securities 2005-07-08 2005-07-15
AMC652 FAY Sharon Ellen RE Dealing in Securities 2014-02-20 2014-02-21
AMC652 FAY Sharon Ellen RE Advising on Securities 2005-07-08 2005-07-14
AMC652 FAY Sharon Ellen RE Advising on Securities 2006-10-10 2006-10-13
AMC652 FAY Sharon Ellen RE Advising on Securities 2010-04-09 2010-04-17
AMC652 FAY Sharon Ellen RE Advising on Securities 2010-10-13 2010-10-15
AMC652 FAY Sharon Ellen RE Advising on Securities 2013-03-18 2013-03-21
AMC652 FAY Sharon Ellen RE Advising on Securities 2015-03-16 2015-03-18
AMC690 MC CUE Brandon James RE Advising on Securities 2005-06-18 2005-06-23
AMC690 MC CUE Brandon James RE Advising on Securities 2005-10-17 2005-10-19
AMD163 PEEBLES Douglas James RE Dealing in Securities 2014-07-02 2014-07-03
AMD163 PEEBLES Douglas James RE Advising on Securities 2005-07-08 2005-07-13
AMD163 PEEBLES Douglas James RE Advising on Securities 2005-11-15 2005-11-16
AMD163 PEEBLES Douglas James RE Advising on Securities 2006-01-26 2006-01-27
AMD163 PEEBLES Douglas James RE Advising on Securities 2007-06-13 2007-06-20
AMD163 PEEBLES Douglas James RE Advising on Securities 2008-04-29 2008-04-30
AMD163 PEEBLES Douglas James RE Advising on Securities 2009-10-05 2009-10-09
AMD163 PEEBLES Douglas James RE Advising on Securities 2012-02-13 2012-02-16
AMD164 SINGHAI Manish RE Dealing in Securities 2006-07-18 2008-07-01
AMD164 SINGHAI Manish RE Advising on Securities 2005-07-11 2005-07-16
AMD164 SINGHAI Manish RE Advising on Securities 2005-11-07 2005-11-11
AMD164 SINGHAI Manish RE Advising on Securities 2006-05-19 2006-05-20
AMD164 SINGHAI Manish RE Advising on Securities 2006-07-18 2008-07-01
AMD164 SINGHAI Manish RE Advising on Futures Contracts 2006-07-18 2008-07-01
AMD164 SINGHAI Manish RE Asset Management 2006-07-18 2008-07-01
AMH458 WONG Sui Man 黃瑞文 RE Dealing in Securities 2012-04-23
AMH458 WONG Sui Man 黃瑞文 RE Advising on Securities 2012-04-23
AMH458 WONG Sui Man 黃瑞文 RE Asset Management 2012-04-23
AMJ994 KOOK Soonwoong RE Dealing in Securities 2005-10-24 2008-09-03
AMJ994 KOOK Soonwoong RE Advising on Securities 2005-10-24 2008-09-03
AMJ994 KOOK Soonwoong RE Advising on Futures Contracts 2005-10-24 2008-09-03
AMJ994 KOOK Soonwoong RE Asset Management 2005-10-24 2008-09-03
AMJ997 PHLEGAR Jeffrey Scott RE Advising on Securities 2005-10-18 2005-10-19
AMJ997 PHLEGAR Jeffrey Scott RE Advising on Securities 2008-04-18 2008-04-23
AMJ997 PHLEGAR Jeffrey Scott RE Advising on Securities 2008-10-24 2008-11-03
AMJ997 PHLEGAR Jeffrey Scott RE Advising on Securities 2009-07-13 2009-07-17
AMJ997 PHLEGAR Jeffrey Scott RE Advising on Securities 2011-02-14 2011-02-18
AMN564 OLIVER Roger Wayne RE Advising on Securities 2005-09-26 2005-09-27
AMN564 OLIVER Roger Wayne RE Advising on Securities 2008-01-11 2008-01-18
AMN565 MINNETIAN Matthew James RE Advising on Securities 2005-09-26 2005-09-27
AMN565 MINNETIAN Matthew James RE Advising on Securities 2008-01-11 2008-01-18
AMN565 MINNETIAN Matthew James RE Advising on Securities 2009-10-05 2009-10-09
AMN619 CHEUNG Kai Li, Carrie 張佳俐 RE Dealing in Securities 2006-01-13 2008-10-10
AMN619 CHEUNG Kai Li, Carrie 張佳俐 RE Advising on Securities 2006-01-13 2008-10-10
AMN771 MAK Cassandra Frances Wai Kwun 麥慧君 RE Dealing in Securities 2010-08-23 2011-09-09
AMN771 MAK Cassandra Frances Wai Kwun 麥慧君 RE Advising on Securities 2010-08-23 2011-09-09
AMO688 NAGASWAMI Ranjani Hopkins RE Advising on Securities 2005-10-19 2005-10-21
AMO688 NAGASWAMI Ranjani Hopkins RE Advising on Securities 2008-11-20 2008-11-28
AMO688 NAGASWAMI Ranjani Hopkins RE Advising on Securities 2009-02-23 2009-02-26
AMP002 SIDFORD William Henry RE Advising on Securities 2005-10-18 2005-10-19
AMP485 RUDOLPH-SHABINSKY John RE Advising on Securities 2005-11-02 2005-11-04
AMU158 MOMOSE Noriko RE Advising on Securities 2005-12-13 2005-12-14
AMU158 MOMOSE Noriko RE Advising on Securities 2006-06-08 2006-06-09
AMU524 MON Michael Lee 文嘉明 RE Dealing in Securities 2006-07-06 2010-12-17
AMU524 MON Michael Lee 文嘉明 RO Dealing in Futures Contracts 2007-04-30 2010-12-17
AMU524 MON Michael Lee 文嘉明 RE Advising on Securities 2005-12-12 2005-12-16
AMU524 MON Michael Lee 文嘉明 RE Advising on Securities 2006-07-06 2010-12-17
AMU524 MON Michael Lee 文嘉明 RE Advising on Futures Contracts 2006-07-06 2007-04-30
AMU524 MON Michael Lee 文嘉明 RO Advising on Futures Contracts 2007-04-30 2010-12-17
AMU524 MON Michael Lee 文嘉明 RE Asset Management 2006-07-06 2010-12-17
AMV206 CHOI Wing Yin, Winnie 蔡穎妍 RE Advising on Securities 2009-09-14 2009-09-18
AMX711 LEY Jason Patrick RE Advising on Securities 2006-01-18 2006-01-27
AMX713 HASNAIN Syed Jafer RE Advising on Securities 2006-01-18 2006-01-27
AMX713 HASNAIN Syed Jafer RE Advising on Securities 2006-07-19 2006-07-21
AMX713 HASNAIN Syed Jafer RE Advising on Securities 2007-02-08 2007-02-09
AMX713 HASNAIN Syed Jafer RE Advising on Securities 2008-10-24 2008-11-03
ANA700 TENCZA Gregory John RE Advising on Securities 2007-06-01 2007-06-10
ANA700 TENCZA Gregory John RO Advising on Securities 2006-02-23 2006-02-24
ANA700 TENCZA Gregory John RO Advising on Securities 2009-03-16 2009-03-17
ANB401 PALMER Michael Scott RE Advising on Securities 2006-02-27 2006-03-01
ANB402 SESIN Karen Ann RE Dealing in Securities 2014-02-17 2014-02-18
ANB402 SESIN Karen Ann RE Advising on Securities 2006-03-01 2006-03-02
ANB402 SESIN Karen Ann RE Advising on Securities 2012-10-08 2012-10-09
ANB402 SESIN Karen Ann RE Advising on Securities 2013-04-25 2013-04-26
ANB402 SESIN Karen Ann RE Advising on Securities 2013-07-09 2013-07-09
ANB402 SESIN Karen Ann RE Advising on Securities 2014-09-23 2014-09-24
ANB402 SESIN Karen Ann RE Advising on Securities 2015-03-16 2015-03-18
ANB402 SESIN Karen Ann RE Advising on Securities 2015-05-04 2015-05-06
ANB402 SESIN Karen Ann RE Advising on Securities 2015-09-14 2015-09-16
ANB471 NIKOLICH Christopher RE Advising on Securities 2006-02-22 2006-02-24
ANE317 KUAN Hsiao Wei, Wendy 關曉薇 RE Dealing in Securities 2006-05-10 2012-02-22
ANE317 KUAN Hsiao Wei, Wendy 關曉薇 RE Dealing in Futures Contracts 2007-07-04 2012-02-22
ANE317 KUAN Hsiao Wei, Wendy 關曉薇 RE Advising on Securities 2006-05-10 2012-02-22
ANE317 KUAN Hsiao Wei, Wendy 關曉薇 RE Advising on Futures Contracts 2006-05-10 2012-02-22
ANE317 KUAN Hsiao Wei, Wendy 關曉薇 RE Asset Management 2006-05-10 2012-02-22
ANE749 CHOW Ting Fai, Stephen Benny 周珽輝 RE Dealing in Securities 2008-05-05 2009-08-14
ANE749 CHOW Ting Fai, Stephen Benny 周珽輝 RE Dealing in Futures Contracts 2008-05-05 2009-08-14
ANE749 CHOW Ting Fai, Stephen Benny 周珽輝 RE Advising on Securities 2008-05-05 2009-08-14
ANE749 CHOW Ting Fai, Stephen Benny 周珽輝 RE Advising on Futures Contracts 2008-05-05 2009-08-14
ANE749 CHOW Ting Fai, Stephen Benny 周珽輝 RE Asset Management 2008-05-05 2009-08-14
ANE767 PANG Matthew Man Yat 彭文逸 RE Dealing in Securities 2007-11-20 2009-08-31
ANE767 PANG Matthew Man Yat 彭文逸 RE Dealing in Futures Contracts 2007-11-20 2009-08-31
ANE767 PANG Matthew Man Yat 彭文逸 RE Advising on Securities 2008-01-18 2009-08-31
ANE767 PANG Matthew Man Yat 彭文逸 RE Advising on Futures Contracts 2008-01-18 2009-08-31
ANE767 PANG Matthew Man Yat 彭文逸 RE Asset Management 2008-01-18 2009-08-31
ANH007 LIN Mei-Fang 林玫芳 RE Dealing in Securities 2011-03-17
ANH007 LIN Mei-Fang 林玫芳 RE Dealing in Futures Contracts 2011-03-17
ANH007 LIN Mei-Fang 林玫芳 RE Advising on Securities 2011-03-17
ANH007 LIN Mei-Fang 林玫芳 RE Advising on Futures Contracts 2011-03-17
ANH007 LIN Mei-Fang 林玫芳 RE Asset Management 2011-03-17
ANH323 QIAN Feng 錢峰 RE Dealing in Securities 2018-11-14
ANH323 QIAN Feng 錢峰 RE Advising on Securities 2018-11-14
ANM682 GARCIA Cristobal Antonio RE Dealing in Securities 2010-09-21 2011-10-24
ANM682 GARCIA Cristobal Antonio RE Advising on Securities 2010-09-21 2011-10-24
ANN404 CHUNG Ka Po 鍾家寶 RE Dealing in Securities 2010-10-08 2011-10-24
ANN404 CHUNG Ka Po 鍾家寶 RE Advising on Securities 2010-10-08 2011-10-24
ANP431 LI Song 李松 RE Dealing in Securities 2006-08-09 2008-11-03
ANP431 LI Song 李松 RE Advising on Securities 2006-08-09 2008-11-03
ANP431 LI Song 李松 RE Advising on Futures Contracts 2006-08-09 2008-11-03
ANP431 LI Song 李松 RE Asset Management 2006-08-09 2008-11-03
ANP669 SUN Hao 孫昊 RE Dealing in Securities 2012-03-16 2018-06-15
ANP669 SUN Hao 孫昊 RE Advising on Securities 2012-03-16 2018-06-15
ANP669 SUN Hao 孫昊 RE Asset Management 2012-03-16 2018-06-15
ANQ408 KOH Whee Leng RE Dealing in Securities 2006-07-20 2006-07-21
ANQ408 KOH Whee Leng RE Dealing in Securities 2006-11-22 2006-11-24
ANQ408 KOH Whee Leng RE Dealing in Securities 2007-07-16 2010-06-30
ANQ408 KOH Whee Leng RE Dealing in Futures Contracts 2007-07-16 2010-06-30
ANT881 RAE Stuart Campbell RE Dealing in Securities 2007-03-19 2012-02-13
ANT881 RAE Stuart Campbell RO Dealing in Securities 2012-02-13
ANT881 RAE Stuart Campbell RE Advising on Securities 2006-08-25 2006-09-01
ANT881 RAE Stuart Campbell RE Advising on Securities 2007-03-19 2012-02-13
ANT881 RAE Stuart Campbell RO Advising on Securities 2012-02-13
ANT881 RAE Stuart Campbell RE Asset Management 2007-03-19 2012-02-13
ANT881 RAE Stuart Campbell RO Asset Management 2012-02-13
ANU047 NELSON Richard Geoffrey RE Dealing in Securities 2006-08-31 2006-09-03
ANU294 KENNEDY Matthew RE Dealing in Securities 2013-02-04 2013-03-01
ANU294 KENNEDY Matthew RO Dealing in Securities 2012-11-20 2013-02-04
ANU294 KENNEDY Matthew RE Advising on Securities 2006-08-21 2012-11-20
ANU294 KENNEDY Matthew RE Advising on Securities 2013-02-04 2013-03-01
ANU294 KENNEDY Matthew RO Advising on Securities 2012-11-20 2013-02-04
ANU294 KENNEDY Matthew RE Asset Management 2007-09-14 2012-11-20
ANU294 KENNEDY Matthew RE Asset Management 2013-02-19 2013-03-01
ANU294 KENNEDY Matthew RO Asset Management 2012-11-20 2013-02-19
ANV218 PANG Jimmy Kar-yin 彭家賢 RE Dealing in Securities 2007-03-01 2009-09-21
ANV218 PANG Jimmy Kar-yin 彭家賢 RE Dealing in Futures Contracts 2007-03-01 2009-09-21
ANV218 PANG Jimmy Kar-yin 彭家賢 RE Advising on Securities 2006-09-11 2006-09-29
ANV218 PANG Jimmy Kar-yin 彭家賢 RE Advising on Securities 2006-11-28 2009-09-21
ANV218 PANG Jimmy Kar-yin 彭家賢 RE Advising on Futures Contracts 2007-03-01 2009-09-21
ANV218 PANG Jimmy Kar-yin 彭家賢 RE Asset Management 2006-11-28 2009-09-21
ANX962 HONG Andrew Bum Suk RE Advising on Securities 2006-11-08 2008-11-28
ANZ640 ABSEY Robert George RE Advising on Securities 2006-09-26 2006-09-27
ANZ640 ABSEY Robert George RE Advising on Securities 2008-01-11 2008-01-18
ANZ640 ABSEY Robert George RE Advising on Securities 2008-03-20 2008-03-28
ANZ843 OE Kumiko 大江久美子 RE Dealing in Securities 2006-09-27 2008-01-03
ANZ843 OE Kumiko 大江久美子 RO Dealing in Securities 2008-01-03 2011-10-26
ANZ843 OE Kumiko 大江久美子 RE Dealing in Futures Contracts 2007-02-06 2008-01-03
ANZ843 OE Kumiko 大江久美子 RO Dealing in Futures Contracts 2008-01-03 2011-10-26
ANZ843 OE Kumiko 大江久美子 RE Advising on Securities 2007-02-06 2008-01-03
ANZ843 OE Kumiko 大江久美子 RO Advising on Securities 2008-01-03 2011-10-26
ANZ843 OE Kumiko 大江久美子 RE Advising on Futures Contracts 2007-02-06 2008-01-03
ANZ843 OE Kumiko 大江久美子 RO Advising on Futures Contracts 2008-01-03 2011-10-26
ANZ843 OE Kumiko 大江久美子 RE Asset Management 2006-09-27 2011-10-26
ANZ952 SHIBUYA Rie RE Dealing in Securities 2006-09-27 2008-01-03
ANZ952 SHIBUYA Rie RO Dealing in Securities 2008-01-03 2012-12-31
ANZ952 SHIBUYA Rie RE Dealing in Futures Contracts 2007-02-06 2008-01-03
ANZ952 SHIBUYA Rie RO Dealing in Futures Contracts 2008-01-03 2012-12-31
ANZ952 SHIBUYA Rie RE Advising on Securities 2007-02-06 2008-01-03
ANZ952 SHIBUYA Rie RO Advising on Securities 2008-01-03 2012-12-31
ANZ952 SHIBUYA Rie RE Advising on Futures Contracts 2007-02-06 2008-01-03
ANZ952 SHIBUYA Rie RO Advising on Futures Contracts 2008-01-03 2012-12-31
ANZ952 SHIBUYA Rie RE Asset Management 2006-09-27 2012-12-31
AOA256 KENNEALLY Susan Boland RE Advising on Securities 2006-10-10 2006-10-12
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2006-10-12 2006-10-14
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2008-02-11 2008-02-15
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2008-05-07 2008-08-07
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2008-11-03 2008-11-07
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2009-02-02 2009-02-13
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2009-05-04 2009-05-08
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2009-07-24 2009-07-31
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2009-10-12 2009-10-13
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2009-10-27 2009-10-30
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2010-02-08 2010-02-11
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2010-05-10 2010-05-14
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2010-07-26 2010-07-30
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2010-10-28 2010-11-12
AOA583 GRIFFITHS Graeme Derek Victor RE Advising on Securities 2011-02-16 2011-02-18
AOB063 WANG Yun Yu 王雲玉 RE Dealing in Securities 2010-02-02 2015-03-09
AOB063 WANG Yun Yu 王雲玉 RE Advising on Securities 2010-02-12 2015-03-09
AOB315 CHEN Shan 陳珊 RE Dealing in Securities 2006-10-17 2008-04-07
AOB315 CHEN Shan 陳珊 RE Advising on Securities 2006-10-17 2008-04-07
AOB931 YAO See Wing, David 姚思榮 RE Advising on Securities 2009-08-06 2015-05-30
AOP219 FEDAK Marilyn G RE Advising on Securities 2007-03-01 2007-03-03
AOS269 LAU Johnny Ka Ki 劉家棋 RE Dealing in Securities 2011-08-29 2011-10-24
AOS269 LAU Johnny Ka Ki 劉家棋 RE Advising on Securities 2011-08-29 2011-10-24
AOS451 QUINN Emma Catherine RE Dealing in Securities 2008-10-06 2008-10-10
AOS451 QUINN Emma Catherine RE Dealing in Securities 2011-10-31 2012-02-08
AOS451 QUINN Emma Catherine RO Dealing in Securities 2012-02-08
AOS451 QUINN Emma Catherine RE Dealing in Futures Contracts 2011-10-31 2012-02-08
AOS451 QUINN Emma Catherine RO Dealing in Futures Contracts 2012-02-08
AOS451 QUINN Emma Catherine RE Advising on Securities 2007-03-28 2007-03-31
AOS451 QUINN Emma Catherine RE Advising on Securities 2011-10-31 2012-02-08
AOS451 QUINN Emma Catherine RO Advising on Securities 2012-02-08
AOS451 QUINN Emma Catherine RE Advising on Futures Contracts 2011-10-31 2012-02-08
AOS451 QUINN Emma Catherine RO Advising on Futures Contracts 2012-02-08
AOT665 LAU Hoi Yue, Jeffrey 劉凱宇 RE Advising on Securities 2013-12-31
AOT665 LAU Hoi Yue, Jeffrey 劉凱宇 RE Asset Management 2013-12-31
AOU898 ODEN John Evans RE Dealing in Securities 2014-02-28
AOU898 ODEN John Evans RE Advising on Securities 2007-04-30 2007-05-03
AOU898 ODEN John Evans RE Advising on Securities 2009-05-11 2009-05-15
AOU898 ODEN John Evans RE Advising on Securities 2009-08-03 2009-08-14
AOU898 ODEN John Evans RE Advising on Securities 2010-01-18 2010-02-04
AOU898 ODEN John Evans RE Advising on Securities 2010-04-01 2010-04-17
AOU898 ODEN John Evans RE Advising on Securities 2010-05-31 2010-06-04
AOU898 ODEN John Evans RE Advising on Securities 2010-07-13
AOV720 EYUNNI Rajeev Srinivas Kiran RE Dealing in Securities 2015-07-06
AOV720 EYUNNI Rajeev Srinivas Kiran RE Advising on Securities 2007-04-27 2011-07-07
AOV720 EYUNNI Rajeev Srinivas Kiran RE Advising on Securities 2013-02-18 2017-10-13
AOV720 EYUNNI Rajeev Srinivas Kiran RO Advising on Securities 2017-10-13
AOV720 EYUNNI Rajeev Srinivas Kiran RE Asset Management 2013-02-18
AOZ118 RICHTER Irene Nena Ida RE Advising on Securities 2007-07-30 2009-09-17
APB629 DEMAKIS Drew William RE Advising on Securities 2007-06-11 2007-06-16
APH605 HO Kwok Wai, Ivan 何國威 RE Dealing in Securities 2009-11-17 2016-02-05
APH605 HO Kwok Wai, Ivan 何國威 RE Advising on Securities 2009-11-17 2016-02-05
APJ349 HORIKAWA Atsushi RE Advising on Securities 2007-08-13 2009-07-29
APO568 WILLIAMS Nicole Petra RE Dealing in Securities 2007-09-10 2009-12-03
APO568 WILLIAMS Nicole Petra RE Dealing in Futures Contracts 2007-09-10 2009-12-03
APO568 WILLIAMS Nicole Petra RE Advising on Securities 2007-09-10 2009-12-03
APO568 WILLIAMS Nicole Petra RE Advising on Futures Contracts 2007-09-10 2009-12-03
APO568 WILLIAMS Nicole Petra RE Asset Management 2007-09-10 2009-12-03
APS177 ZENG Zheng 曾錚 RE Dealing in Securities 2016-05-06
APS177 ZENG Zheng 曾錚 RE Dealing in Futures Contracts 2016-05-06
APS177 ZENG Zheng 曾錚 RE Advising on Securities 2013-07-11
APS177 ZENG Zheng 曾錚 RE Advising on Futures Contracts 2016-05-06
APS177 ZENG Zheng 曾錚 RE Asset Management 2016-04-06
APS748 YIU Tze Wai 姚志威 RE Advising on Securities 2007-10-09 2009-08-31
APS748 YIU Tze Wai 姚志威 RE Asset Management 2008-01-17 2009-08-31
APW075 KELLEHER Stephen Sean RE Advising on Securities 2007-10-22 2007-10-30
APY381 CHENG Pui Kan 鄭培瑾 RE Dealing in Securities 2008-09-17 2013-09-19
APY381 CHENG Pui Kan 鄭培瑾 RE Dealing in Futures Contracts 2008-09-17 2013-09-19
APZ544 ITABA Ken RE Advising on Securities 2007-11-22 2007-12-01
AQA182 BEINHACKER Stephen Michael RE Advising on Securities 2007-11-26 2007-11-27
AQA182 BEINHACKER Stephen Michael RE Advising on Securities 2008-08-05 2008-08-08
AQC511 LAVI Avraham RE Dealing in Securities 2014-02-25 2014-02-28
AQC511 LAVI Avraham RE Advising on Securities 2007-12-12 2007-12-15
AQC511 LAVI Avraham RE Advising on Securities 2010-03-22 2010-03-26
AQC511 LAVI Avraham RE Advising on Securities 2011-08-03 2011-08-05
AQC511 LAVI Avraham RE Advising on Securities 2012-01-31 2012-02-02
AQC511 LAVI Avraham RE Advising on Securities 2012-10-31 2012-11-02
AQC511 LAVI Avraham RE Advising on Securities 2013-04-02 2013-04-02
AQC511 LAVI Avraham RE Advising on Securities 2014-02-25 2014-02-28
AQD961 CHIU Sze Miu 招詩苗 RE Dealing in Securities 2008-09-19 2011-09-08
AQD961 CHIU Sze Miu 招詩苗 RE Advising on Securities 2008-10-15 2011-09-08
AQH499 LAM Victoria Wing Man 林穎文 RE Dealing in Securities 2008-01-18 2009-06-12
AQH499 LAM Victoria Wing Man 林穎文 RE Advising on Securities 2008-01-18 2009-06-12
AQH499 LAM Victoria Wing Man 林穎文 RE Advising on Futures Contracts 2008-01-18 2009-06-12
AQR573 CAMACHO RIERA Luis Francisco RE Advising on Securities 2009-11-02 2009-11-06
AQW236 LAU Ka Yi, Vera 劉嘉怡 RE Dealing in Securities 2008-04-18 2009-01-22
AQW236 LAU Ka Yi, Vera 劉嘉怡 RE Dealing in Securities 2009-02-13 2009-07-24
AQW236 LAU Ka Yi, Vera 劉嘉怡 RE Dealing in Securities 2013-05-13 2016-09-30
AQW236 LAU Ka Yi, Vera 劉嘉怡 RE Advising on Securities 2008-04-18 2009-01-22
AQW236 LAU Ka Yi, Vera 劉嘉怡 RE Advising on Securities 2009-02-13 2009-07-24
AQW236 LAU Ka Yi, Vera 劉嘉怡 RE Advising on Securities 2013-05-13 2016-09-30
AQW563 BUCKLEY Mark Robert RE Dealing in Securities 2014-10-27 2014-10-31
AQW563 BUCKLEY Mark Robert RE Advising on Securities 2008-04-25 2008-11-26
ARF792 DHIR Sachin RE Asset Management 2018-11-19
ARK450 WONG Wing Lam 黃詠琳 RE Dealing in Securities 2008-07-31 2012-10-10
ARK450 WONG Wing Lam 黃詠琳 RE Dealing in Futures Contracts 2008-07-31 2012-10-10
ARN240 LU Hui-Chen 呂慧珍 RE Dealing in Securities 2010-04-13 2011-10-24
ARN240 LU Hui-Chen 呂慧珍 RE Advising on Securities 2010-04-13 2011-10-24
ARN744 LEE Chang Bok 李彰馥 RE Dealing in Securities 2008-08-27 2009-06-12
ARN744 LEE Chang Bok 李彰馥 RE Dealing in Futures Contracts 2008-08-27 2009-06-12
ARO112 HENKEL David Carl RE Advising on Securities 2008-09-05 2008-09-10
ARO112 HENKEL David Carl RE Advising on Securities 2009-11-03 2009-11-20
ARO112 HENKEL David Carl RE Advising on Securities 2011-02-25 2011-03-02
ARO541 MAYER Marc Orlans RE Advising on Securities 2008-09-08 2008-09-11
ARR637 LAI Hoi Yan, Patricia 黎凱欣 RE Dealing in Securities 2011-03-15 2017-02-05
ART003 SONG Tingting 宋婷婷 RE Dealing in Securities 2016-09-22
ART003 SONG Tingting 宋婷婷 RE Advising on Securities 2016-08-26
ART003 SONG Tingting 宋婷婷 RE Asset Management 2016-08-26
ARU736 D'AURIA Henry S RE Advising on Securities 2008-11-11 2008-11-13
ARU736 D'AURIA Henry S RE Advising on Securities 2015-05-29 2015-06-10
ARU913 VOSPER Paul Andrew RE Advising on Securities 2010-07-15 2010-08-14
ARU913 VOSPER Paul Andrew RE Advising on Securities 2010-09-06 2010-09-08
ARU913 VOSPER Paul Andrew RE Advising on Securities 2010-09-27 2010-10-01
ARU913 VOSPER Paul Andrew RE Advising on Securities 2010-11-01 2010-11-05
ARV876 TOTH Gina Marie RE Advising on Securities 2008-11-11 2008-11-13
ARV876 TOTH Gina Marie RE Advising on Securities 2009-03-02 2009-03-06
ARV876 TOTH Gina Marie RE Advising on Securities 2009-05-27 2009-06-05
ARV876 TOTH Gina Marie RE Advising on Securities 2009-08-07 2009-08-14
ARV876 TOTH Gina Marie RE Advising on Securities 2009-08-25 2009-08-28
ARV876 TOTH Gina Marie RE Advising on Securities 2009-11-16 2009-11-20
ARV876 TOTH Gina Marie RE Advising on Securities 2009-11-24 2009-11-25
ARV876 TOTH Gina Marie RE Advising on Securities 2010-02-02 2010-02-05
ARV876 TOTH Gina Marie RE Advising on Securities 2010-03-01 2010-03-05
ARV876 TOTH Gina Marie RE Advising on Securities 2010-03-18 2010-03-25
ARV876 TOTH Gina Marie RE Advising on Securities 2010-05-03 2010-05-07
ARV876 TOTH Gina Marie RE Advising on Securities 2010-06-01 2010-06-03
ARV876 TOTH Gina Marie RE Advising on Securities 2010-08-11 2010-08-13
ARV876 TOTH Gina Marie RE Advising on Securities 2010-11-26 2010-12-03
ASK055 WEI Serena 魏卓婷 RE Dealing in Securities 2009-03-03 2009-09-06
ASK055 WEI Serena 魏卓婷 RE Advising on Securities 2009-03-03 2009-09-06
ASK486 LEE Denise Hau Ying 李巧盈 RE Advising on Securities 2009-02-11 2013-10-29
ASM271 KRAUS Peter S. RE Advising on Securities 2009-03-16 2009-03-17
ASM271 KRAUS Peter S. RE Advising on Securities 2010-03-11 2010-03-13
ASO250 ZLOTNIKOV Vadim RE Dealing in Securities 2014-03-31 2014-04-01
ASO250 ZLOTNIKOV Vadim RE Advising on Securities 2009-03-20 2009-03-28
ASO250 ZLOTNIKOV Vadim RE Advising on Securities 2017-06-21 2017-06-25
ASU040 GUO Wei 郭煒 RE Dealing in Securities 2009-06-30 2010-02-05
ASU040 GUO Wei 郭煒 RE Advising on Securities 2009-06-30 2010-02-05
ASU040 GUO Wei 郭煒 RE Advising on Futures Contracts 2009-06-30 2010-02-05
ASW584 ZHU Liang 朱良 RE Advising on Securities 2009-04-27
ATD881 CHAN Chi Lap 陳志立 RE Dealing in Securities 2009-06-24 2010-12-31
ATD881 CHAN Chi Lap 陳志立 RE Advising on Securities 2009-06-24 2010-12-31
ATL814 KIM Joshua Taehyun RE Dealing in Securities 2011-01-14 2011-10-24
ATL814 KIM Joshua Taehyun RE Advising on Securities 2011-01-14 2011-10-24
ATM595 BEVERIDGE Neil Alexander Stewart RE Dealing in Securities 2009-10-15 2011-10-24
ATM595 BEVERIDGE Neil Alexander Stewart RE Advising on Securities 2009-08-14 2009-10-13
ATM595 BEVERIDGE Neil Alexander Stewart RE Advising on Securities 2009-10-15 2011-10-24
ATO928 PETTINATO Jillian Elaine RE Advising on Securities 2009-08-25 2009-10-23
ATS628 GODRIDGE Benjamin John RE Dealing in Securities 2009-09-30 2011-09-16
ATS628 GODRIDGE Benjamin John RE Advising on Securities 2009-09-30 2011-09-16
ATS628 GODRIDGE Benjamin John RE Asset Management 2009-09-30 2011-09-16
ATS930 SHEN Ju-ching 沈如卿 RE Advising on Securities 2009-09-21 2009-10-31
ATT445 WOOD Catherine Duddy RE Advising on Securities 2009-09-21 2009-09-25
ATT445 WOOD Catherine Duddy RE Advising on Securities 2010-01-12 2010-01-15
ATT445 WOOD Catherine Duddy RE Advising on Securities 2011-03-21 2011-03-24
ATT445 WOOD Catherine Duddy RE Advising on Securities 2012-03-19 2012-03-22
ATT445 WOOD Catherine Duddy RE Advising on Securities 2013-03-18 2013-03-25
ATX653 DELL Benjamin Philip RE Advising on Securities 2009-10-19 2009-10-23
ATX891 KONIALIDIS Nikolaos Chrysostomos RE Advising on Securities 2009-10-14 2009-10-16
ATX891 KONIALIDIS Nikolaos Chrysostomos RE Advising on Securities 2009-10-22 2009-10-23
ATX891 KONIALIDIS Nikolaos Chrysostomos RE Advising on Securities 2009-10-27 2009-10-30
AUA282 GINGRICH James Andrew RE Advising on Securities 2009-11-02 2009-11-06
AUA284 SIMMS Kevin Frederick RE Advising on Securities 2009-10-28 2009-10-30
AUA284 SIMMS Kevin Frederick RE Advising on Securities 2010-09-27 2010-09-29
AUA323 WRIGHT Thomas Rowe RE Advising on Securities 2009-11-02 2009-11-06
AUA323 WRIGHT Thomas Rowe RE Advising on Securities 2010-03-08 2010-03-12
AUA323 WRIGHT Thomas Rowe RE Advising on Securities 2010-07-12 2010-07-16
AUA323 WRIGHT Thomas Rowe RE Advising on Securities 2010-11-01 2010-11-05
AUA323 WRIGHT Thomas Rowe RE Advising on Securities 2011-06-27 2011-07-04
AUA323 WRIGHT Thomas Rowe RE Advising on Securities 2011-10-17 2011-10-21
AUA340 VAN BRUGGE Robert Pieter RO Dealing in Securities 2010-04-19 2010-07-19
AUA340 VAN BRUGGE Robert Pieter RO Dealing in Securities 2010-08-16 2010-12-17
AUA340 VAN BRUGGE Robert Pieter RE Advising on Securities 2009-11-09 2009-11-13
AUA340 VAN BRUGGE Robert Pieter RO Advising on Securities 2010-04-19 2010-07-19
AUA340 VAN BRUGGE Robert Pieter RO Advising on Securities 2010-08-16 2010-12-17
AUA520 WU Tao Thomas RE Advising on Securities 2009-11-02 2009-11-06
AUA520 WU Tao Thomas RE Advising on Securities 2010-01-28 2010-01-29
AUB442 HAGEMEIER Jan Patric RE Advising on Securities 2009-11-09 2009-11-13
AUB442 HAGEMEIER Jan Patric RE Advising on Securities 2010-02-03 2010-02-05
AUC310 ROSS James Mcconville RE Advising on Securities 2009-11-09 2009-11-13
AUC310 ROSS James Mcconville RE Advising on Securities 2010-11-01 2010-11-05
AUE422 SCHRAGE Rebecca Mak Karen RE Dealing in Securities 2009-11-23 2012-01-06
AUE422 SCHRAGE Rebecca Mak Karen RE Advising on Securities 2009-11-23 2012-01-06
AUH931 LIN Lin RE Advising on Securities 2009-12-10 2009-12-21
AUK244 PROZESKY Paul Martin RE Advising on Securities 2010-01-04 2010-01-05
AUK287 SUZUKI Seiichiro RE Advising on Securities 2010-01-04 2010-01-06
AUK287 SUZUKI Seiichiro RE Advising on Securities 2017-06-19 2017-06-21
AUM316 PADHYE Suchet Pandurang RE Dealing in Securities 2011-04-28 2011-12-20
AUM316 PADHYE Suchet Pandurang RO Dealing in Securities 2010-10-29 2011-04-28
AUM316 PADHYE Suchet Pandurang RE Dealing in Futures Contracts 2011-04-28 2011-12-20
AUM316 PADHYE Suchet Pandurang RO Dealing in Futures Contracts 2010-10-29 2011-04-28
AUM316 PADHYE Suchet Pandurang RE Advising on Securities 2011-04-28 2011-12-20
AUM316 PADHYE Suchet Pandurang RO Advising on Securities 2010-10-29 2011-04-28
AUM316 PADHYE Suchet Pandurang RE Advising on Futures Contracts 2011-04-28 2011-12-20
AUM316 PADHYE Suchet Pandurang RO Advising on Futures Contracts 2010-10-29 2011-04-28
AUM316 PADHYE Suchet Pandurang RE Asset Management 2011-04-28 2011-12-20
AUM316 PADHYE Suchet Pandurang RO Asset Management 2010-10-29 2011-04-28
AUO124 WERNER Michael Joseph RE Dealing in Securities 2010-02-02 2011-10-24
AUO124 WERNER Michael Joseph RE Advising on Securities 2010-02-02 2011-10-24
AUP798 MASTALIR Blake Allard RE Advising on Securities 2010-01-27 2010-01-29
AUP813 GILBERT Alexander Parish RE Advising on Securities 2010-01-26 2010-01-29
AUP814 CRAMER Brahm Stuart RE Advising on Securities 2010-01-27 2010-01-29
AUP814 CRAMER Brahm Stuart RE Advising on Securities 2010-07-12 2010-07-15
AUP814 CRAMER Brahm Stuart RE Advising on Securities 2011-08-02 2011-08-06
AUR866 PARKER Michael Wade RE Dealing in Securities 2010-02-10 2011-10-24
AUR866 PARKER Michael Wade RE Advising on Securities 2010-02-10 2011-10-24
AUT771 WINOKER Steven Eric RE Advising on Securities 2010-03-08 2010-03-09
AUT771 WINOKER Steven Eric RE Advising on Securities 2011-03-09 2011-03-14
AUT772 SOLCA Luca Giuseppe RE Advising on Securities 2010-03-08 2010-03-16
AUV751 LAM Melody Wai Yan 林慧恩 RE Dealing in Securities 2010-03-09 2010-04-30
AUV751 LAM Melody Wai Yan 林慧恩 RE Advising on Securities 2010-03-09 2010-04-30
AUW501 LUKE James Robert RE Advising on Securities 2010-03-24 2010-03-30
AUX029 STEYN David Andrew RE Advising on Securities 2010-03-29 2010-03-30
AUY970 LANGLEY Toby Rowan RE Advising on Securities 2010-04-01 2010-04-12
AVA073 ZHANG Liang RE Dealing in Securities 2010-04-15 2011-10-24
AVA073 ZHANG Liang RE Advising on Securities 2010-04-15 2011-10-24
AVA795 DENFELD Jon Peter RE Advising on Securities 2010-04-26 2010-04-30
AVA795 DENFELD Jon Peter RE Advising on Securities 2012-09-25 2012-09-26
AVD117 BARNARD David RE Advising on Securities 2010-05-11 2010-05-15
AVD117 BARNARD David RE Advising on Securities 2010-09-22 2010-10-01
AVD117 BARNARD David RE Advising on Securities 2011-03-28 2011-04-01
AVD117 BARNARD David RE Advising on Securities 2011-08-22 2011-08-28
AVD880 MOEL MODIANO Alberto RE Dealing in Securities 2010-05-07 2011-10-24
AVD880 MOEL MODIANO Alberto RE Advising on Securities 2010-05-07 2011-10-24
AVD908 WARBURTON Max Eliot Adair RE Advising on Securities 2010-05-20 2010-05-25
AVD908 WARBURTON Max Eliot Adair RE Advising on Securities 2011-05-09 2011-05-12
AVD908 WARBURTON Max Eliot Adair RE Advising on Securities 2011-10-13 2011-10-14
AVD913 HENDERSON Samuel Thomas RE Dealing in Securities 2010-05-12 2011-10-24
AVD913 HENDERSON Samuel Thomas RE Advising on Securities 2010-05-12 2011-10-24
AVG767 REEVES Martin Adam RE Advising on Securities 2010-06-04 2010-06-11
AVG867 CRAWFORD James Duncan Laing RE Advising on Securities 2010-05-31 2010-06-04
AVG867 CRAWFORD James Duncan Laing RE Advising on Securities 2010-07-28 2010-08-03
AVG867 CRAWFORD James Duncan Laing RE Advising on Securities 2010-11-12 2010-11-16
AVG867 CRAWFORD James Duncan Laing RE Advising on Securities 2011-02-23 2011-03-02
AVG867 CRAWFORD James Duncan Laing RE Advising on Securities 2011-04-26 2011-04-29
AVH615 CLINT Oswald Conan RE Advising on Securities 2010-06-21 2010-06-25
AVH615 CLINT Oswald Conan RE Advising on Securities 2011-01-10 2011-01-15
AVI140 LEUNG Sing Pong, Alex 梁承邦 RE Dealing in Securities 2010-06-14 2011-10-24
AVI140 LEUNG Sing Pong, Alex 梁承邦 RE Advising on Securities 2010-06-14 2011-10-24
AVI918 ASPESI Claudio RE Advising on Securities 2010-06-25 2010-06-29
AVJ254 BRASHEAR Janet Mallison RE Advising on Securities 2010-06-24 2010-06-26
AVJ263 NAKAMURA Spark Takuya RE Dealing in Securities 2010-12-31 2013-04-24
AVJ263 NAKAMURA Spark Takuya RE Dealing in Futures Contracts 2010-12-31 2013-04-24
AVJ263 NAKAMURA Spark Takuya RE Advising on Securities 2010-06-28 2010-07-30
AVJ263 NAKAMURA Spark Takuya RE Advising on Securities 2010-12-31 2013-04-24
AVJ263 NAKAMURA Spark Takuya RE Advising on Futures Contracts 2010-12-31 2013-04-24
AVK469 LI Hsinlin 李欣霖 RE Dealing in Securities 2010-07-02 2011-10-24
AVK469 LI Hsinlin 李欣霖 RE Advising on Securities 2010-07-02 2011-10-24
AVK470 NEWMAN Mark Christopher RE Dealing in Securities 2010-07-02 2011-10-24
AVK470 NEWMAN Mark Christopher RE Advising on Securities 2010-07-02 2011-10-24
AVK791 WALKER Brian Wesley 華博安 RE Dealing in Securities 2010-07-02 2012-03-09
AVK791 WALKER Brian Wesley 華博安 RE Advising on Securities 2010-07-02 2012-03-09
AVM432 TIANO Joseph Salvatore RE Dealing in Securities 2010-07-15 2011-10-24
AVM432 TIANO Joseph Salvatore RE Advising on Securities 2010-07-15 2011-10-24
AVO880 LAU Kin Chi Gilbert 劉健智 RE Dealing in Securities 2010-07-30 2011-10-24
AVT057 CHIA Kiara Kim Szu Shyan RE Advising on Securities 2010-08-26 2011-10-24
AVV090 BRISCOE Hayden Daniel RE Dealing in Securities 2013-01-14 2013-03-28
AVV090 BRISCOE Hayden Daniel RO Dealing in Securities 2013-03-28 2016-04-18
AVV090 BRISCOE Hayden Daniel RE Dealing in Futures Contracts 2013-01-14 2013-03-28
AVV090 BRISCOE Hayden Daniel RO Dealing in Futures Contracts 2013-03-28 2016-04-18
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2010-09-06 2010-09-07
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2011-02-21 2011-02-28
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2011-06-21 2011-07-03
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2011-09-19 2011-09-24
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2012-02-13 2012-02-15
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2012-06-25 2012-06-27
AVV090 BRISCOE Hayden Daniel RE Advising on Securities 2013-01-14 2013-03-28
AVV090 BRISCOE Hayden Daniel RO Advising on Securities 2013-03-28 2016-04-18
AVV090 BRISCOE Hayden Daniel RE Advising on Futures Contracts 2013-01-14 2013-03-28
AVV090 BRISCOE Hayden Daniel RO Advising on Futures Contracts 2013-03-28 2016-04-18
AVV090 BRISCOE Hayden Daniel RE Asset Management 2013-01-14 2013-03-28
AVV090 BRISCOE Hayden Daniel RO Asset Management 2013-03-28 2016-04-18
AVV243 LOU Ying 樓瑩 RE Dealing in Securities 2011-06-07 2011-10-24
AVV243 LOU Ying 樓瑩 RE Advising on Securities 2011-06-07 2011-10-24
AVV794 HULKUNTE NAGARAJ Ayush RE Dealing in Securities 2010-09-20 2011-10-24
AVV794 HULKUNTE NAGARAJ Ayush RE Advising on Securities 2010-09-20 2011-10-24
AVW563 QIU Wangshu 裘望舒 RE Dealing in Securities 2010-09-15 2011-10-24
AVW563 QIU Wangshu 裘望舒 RE Advising on Securities 2010-09-15 2011-10-24
AVX217 SENATORE Sara Betty Harkavy RE Advising on Securities 2010-09-24 2010-09-26
AVX217 SENATORE Sara Betty Harkavy RE Advising on Securities 2011-09-12 2011-09-16
AWA194 MC MAHON Neil Andrew RE Advising on Securities 2010-10-18 2010-10-22
AWA194 MC MAHON Neil Andrew RE Advising on Securities 2010-11-22 2011-01-21
AWC337 HOGBIN Christopher Edward George RE Advising on Securities 2010-11-01 2010-11-05
AWC341 WON Sun-hee 元善熙 RE Dealing in Securities 2010-10-19 2012-02-16
AWC341 WON Sun-hee 元善熙 RE Advising on Securities 2010-10-19 2012-02-16
AWE188 HARNED Douglas Stuart RE Advising on Securities 2010-11-02 2010-11-10
AWE188 HARNED Douglas Stuart RE Advising on Securities 2011-11-02 2011-11-04
AWF162 BURKE John Patrick RE Advising on Securities 2010-11-26 2010-12-03
AWF162 BURKE John Patrick RE Advising on Securities 2011-02-24 2011-03-02
AWF162 BURKE John Patrick RE Advising on Securities 2011-05-13 2011-05-14
AWJ160 FERRAGU Pierre, Charles, Louis, Hubert, Marie RE Advising on Securities 2010-12-06 2010-12-10
AWJ160 FERRAGU Pierre, Charles, Louis, Hubert, Marie RE Advising on Securities 2011-06-28 2011-06-29
AWJ160 FERRAGU Pierre, Charles, Louis, Hubert, Marie RE Advising on Securities 2011-10-18 2011-10-20
AWJ166 ZHENG Lili 鄭莉莉 RE Advising on Securities 2010-11-25
AWK213 BROWN Adrian Peter Rudwick RE Advising on Securities 2010-12-09 2010-12-10
AWO078 GUPTE Anagha Avinash RE Advising on Securities 2011-01-05 2011-01-06
AWQ373 SIGEL Matthew Joel RE Advising on Securities 2011-01-19 2011-01-21
AWT777 BASS Matthew David RE Advising on Securities 2011-02-14 2011-02-18
AWZ273 BIAN Lu 邊璐 RE Dealing in Securities 2011-03-16 2011-10-24
AWZ273 BIAN Lu 邊璐 RE Advising on Securities 2011-03-16 2011-10-24
AWZ584 HUSAIN Arif RE Advising on Securities 2011-03-28 2011-03-29
AWZ584 HUSAIN Arif RE Advising on Securities 2012-07-10 2012-07-11
AWZ584 HUSAIN Arif RE Advising on Securities 2013-05-20 2013-05-24
AXB191 MOHANTY Sabyasachi RE Dealing in Securities 2011-03-25 2011-10-14
AXB191 MOHANTY Sabyasachi RE Advising on Securities 2011-03-25 2011-10-14
AXB230 HOFFMANN-BECKING Dirk Alexander RE Advising on Securities 2011-04-04 2011-04-08
AXC578 COOK Robert William RE Advising on Securities 2011-04-08 2011-04-09
AXF251 GOH Li Lu, Irene 吳麗如 RE Dealing in Securities 2011-11-01 2012-11-20
AXF251 GOH Li Lu, Irene 吳麗如 RO Dealing in Securities 2012-11-20 2016-03-07
AXF251 GOH Li Lu, Irene 吳麗如 RE Dealing in Futures Contracts 2015-11-27 2016-03-07
AXF251 GOH Li Lu, Irene 吳麗如 RE Advising on Securities 2011-04-27 2012-11-20
AXF251 GOH Li Lu, Irene 吳麗如 RO Advising on Securities 2012-11-20 2016-03-07
AXF251 GOH Li Lu, Irene 吳麗如 RE Advising on Futures Contracts 2015-11-27 2016-03-07
AXF251 GOH Li Lu, Irene 吳麗如 RE Asset Management 2013-08-01 2016-03-07
AXF635 LIANG Michelle Alison Hing Man 梁馨文 RE Dealing in Securities 2011-05-06 2011-10-24
AXF635 LIANG Michelle Alison Hing Man 梁馨文 RE Advising on Securities 2011-05-06 2011-10-24
AXG209 JI Mo 紀沫 RE Dealing in Securities 2018-05-23
AXG209 JI Mo 紀沫 RE Advising on Securities 2018-05-23
AXG209 JI Mo 紀沫 RE Asset Management 2018-05-23
AXK433 STIRLING Trevor John RE Advising on Securities 2011-06-09 2011-06-10
AXO118 WONG Chi Kin, Christopher 黃子建 RE Dealing in Securities 2011-07-05 2011-10-24
AXO118 WONG Chi Kin, Christopher 黃子建 RE Advising on Securities 2011-07-05 2011-10-24
AXQ586 CHENG Hua 程華 RE Dealing in Securities 2011-07-18 2011-10-24
AXQ586 CHENG Hua 程華 RE Dealing in Securities 2014-05-12
AXQ586 CHENG Hua 程華 RE Advising on Securities 2011-07-18 2011-10-24
AXQ586 CHENG Hua 程華 RE Advising on Securities 2014-05-12
AXS488 BRICKER Christopher John RE Advising on Securities 2018-04-16 2018-04-18
AXS989 MARX Christopher William RE Dealing in Securities 2014-04-24 2014-04-28
AXS989 MARX Christopher William RE Dealing in Securities 2015-04-14 2015-04-15
AXS989 MARX Christopher William RE Dealing in Securities 2015-09-15 2015-09-16
AXS989 MARX Christopher William RE Dealing in Securities 2017-02-23 2017-02-24
AXS989 MARX Christopher William RE Advising on Securities 2011-08-08 2011-08-10
AXS989 MARX Christopher William RE Advising on Securities 2013-08-05 2013-08-05
AXS989 MARX Christopher William RE Advising on Securities 2013-10-18 2013-10-22
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2014-02-10 2014-02-14
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2014-10-07 2014-10-09
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2015-04-16 2015-04-17
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2016-05-06 2016-05-10
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2016-12-05 2016-12-05
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2017-04-24 2017-04-26
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2017-09-20 2017-09-22
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2017-12-06 2017-12-08
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2018-03-06 2018-03-09
AXT012 HARTING Morgan Clothier RE Dealing in Securities 2018-10-25 2018-10-26
AXT012 HARTING Morgan Clothier RE Advising on Securities 2011-08-17 2011-08-18
AXU753 MANO Katsuhiko RE Advising on Securities 2011-08-31
AXU753 MANO Katsuhiko RE Asset Management 2016-02-16
AXW260 MARESCHAL DE CHARENTENAY Ghislain, Baptiste, Marie RE Advising on Securities 2011-08-22 2011-08-25
AXX186 WANG Lu 王璐 RE Dealing in Securities 2011-08-22 2011-10-24
AXX186 WANG Lu 王璐 RE Advising on Securities 2011-08-22 2011-10-24
AXX210 KOAY Siu Choon 郭修俊 RE Dealing in Securities 2011-08-23 2011-10-24
AXX210 KOAY Siu Choon 郭修俊 RE Advising on Securities 2011-08-23 2011-10-24
AYB949 LO Shiu Wing, Brian 盧兆榮 RE Advising on Securities 2011-10-17
AYB951 TSUI Vincent Tien You 徐天佑 RE Advising on Securities 2011-09-27
AYD279 GONDARD Gabriel Robert RE Dealing in Securities 2017-09-01
AYD279 GONDARD Gabriel Robert RE Advising on Securities 2017-09-01
AYD279 GONDARD Gabriel Robert RE Asset Management 2017-09-01
AYH714 SOMMER Moses RE Advising on Securities 2011-10-24 2011-10-28
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2011-12-05 2011-12-09
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2012-02-13 2012-02-17
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2012-10-29 2012-11-02
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2014-02-26 2014-02-28
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2015-04-15 2015-07-14
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2017-03-20 2017-03-23
AYN586 TAYLOR Andrew Brian RE Dealing in Securities 2018-05-07 2018-05-11
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2011-12-05 2011-12-09
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2012-02-13 2012-02-17
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2012-10-29 2012-11-02
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2014-02-26 2014-02-28
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2015-04-15 2015-07-14
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2017-03-20 2017-03-23
AYN586 TAYLOR Andrew Brian RE Dealing in Futures Contracts 2018-05-07 2018-05-11
AYR613 LOU Chao 樓超 RE Dealing in Securities 2015-07-07 2015-08-10
AYR613 LOU Chao 樓超 RE Dealing in Futures Contracts 2015-07-07 2015-08-10
AYR613 LOU Chao 樓超 RE Advising on Securities 2013-10-02 2015-08-10
AYR613 LOU Chao 樓超 RE Advising on Futures Contracts 2015-07-07 2015-08-10
AYR613 LOU Chao 樓超 RE Asset Management 2013-10-02 2015-08-10
AYT905 SHARMA Nitish RE Dealing in Securities 2012-01-16 2012-02-17
AYT905 SHARMA Nitish RE Advising on Securities 2012-01-16 2012-02-17
AYY641 SKOGLUND Jeffrey Scott RE Advising on Securities 2012-02-13 2012-02-16
AYY641 SKOGLUND Jeffrey Scott RE Advising on Securities 2016-06-21 2016-06-24
AZB956 AKKERMAN John William RE Advising on Securities 2012-03-05 2012-03-16
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2014-04-22 2014-04-23
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2014-07-08 2014-07-09
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2015-03-23 2015-03-25
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2015-09-11 2015-09-18
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2016-03-09 2016-03-11
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2017-02-27 2017-02-28
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2017-09-11 2017-09-15
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2018-03-19 2018-03-21
AZE639 PHELPS Mark Ivor RE Dealing in Securities 2018-10-02 2018-10-03
AZF860 SAW Adrian Yen Heng RE Dealing in Securities 2012-04-05 2015-05-26
AZF860 SAW Adrian Yen Heng RE Dealing in Futures Contracts 2012-04-05 2015-05-26
AZF860 SAW Adrian Yen Heng RE Advising on Securities 2012-04-05 2015-05-26
AZF860 SAW Adrian Yen Heng RE Advising on Futures Contracts 2012-04-05 2015-05-26
AZF862 LEONG Koon Jee Jennifer 梁君玉 RE Dealing in Securities 2014-02-28 2016-02-05
AZF862 LEONG Koon Jee Jennifer 梁君玉 RE Advising on Securities 2012-03-28 2016-02-05
AZG143 LEVINSON Eric Lee RE Dealing in Securities 2012-04-13 2012-07-27
AZG143 LEVINSON Eric Lee RE Advising on Securities 2012-04-13 2012-07-27
BAG066 HARGIS Kent W RE Dealing in Securities 2014-11-17 2014-11-18
BAG066 HARGIS Kent W RE Advising on Securities 2012-10-08 2012-10-10
BAG066 HARGIS Kent W RE Advising on Securities 2013-11-04 2013-11-06
BAG066 HARGIS Kent W RE Advising on Securities 2016-05-16 2016-05-18
BAG066 HARGIS Kent W RE Advising on Securities 2018-03-20 2018-03-23
BAH368 FEUERMAN Kurt Andrew RE Advising on Securities 2012-10-10 2012-10-11
BAH886 CHEN Wei Yi 陳葳頤 RE Advising on Securities 2012-10-19
BAK520 GROSSMAN Benjamin Mark RE Advising on Securities 2012-11-01 2013-05-17
BAX714 DISTENFELD Gershon M RE Dealing in Securities 2014-03-18 2014-03-23
BAX714 DISTENFELD Gershon M RE Dealing in Securities 2015-11-02 2015-11-02
BAX714 DISTENFELD Gershon M RE Dealing in Securities 2016-07-26 2016-07-28
BAX714 DISTENFELD Gershon M RE Advising on Securities 2013-03-04 2013-03-05
BAZ862 LIM Karen Yeow Ping 林耀萍 RE Advising on Securities 2013-03-21 2013-03-22
BBD016 LOB Dianne Friedel RE Advising on Securities 2013-04-19 2013-04-24
BBH321 KRAUTHAMER Scott Michael RE Advising on Securities 2013-05-22 2013-05-23
BBO889 WATERS Aaron Joseph Philip RE Dealing in Securities 2013-07-15 2017-02-22
BBO889 WATERS Aaron Joseph Philip RE Dealing in Futures Contracts 2013-07-15 2017-02-22
BBP720 ALI Tawhid RE Advising on Securities 2013-07-24 2013-07-26
BBP720 ALI Tawhid RE Advising on Securities 2015-05-11 2015-05-13
BBP720 ALI Tawhid RE Advising on Securities 2015-10-06 2015-10-10
BBP720 ALI Tawhid RE Advising on Securities 2016-08-03 2016-08-05
BBP720 ALI Tawhid RE Advising on Securities 2016-11-21 2016-11-26
BBR119 SONNELAND Joshua Paul RE Dealing in Securities 2014-03-10 2014-03-12
BBR119 SONNELAND Joshua Paul RE Advising on Securities 2013-08-19 2013-08-19
BBR119 SONNELAND Joshua Paul RE Advising on Securities 2014-03-10 2014-03-12
BBR119 SONNELAND Joshua Paul RE Advising on Securities 2017-11-28 2017-11-29
BBR119 SONNELAND Joshua Paul RE Advising on Securities 2018-04-17 2018-04-18
BBR119 SONNELAND Joshua Paul RE Advising on Securities 2018-09-12 2018-09-13
BBX856 SCHWEIZER Alison Marie RE Advising on Securities 2013-10-02 2013-10-07
BCI295 DAVIDSON Nicholas Callum RE Advising on Securities 2013-11-20 2013-11-21
BCI295 DAVIDSON Nicholas Callum RE Advising on Securities 2015-08-27 2015-08-28
BCZ785 NOLAN Luke William RE Dealing in Securities 2014-03-03 2017-08-06
BCZ785 NOLAN Luke William RE Dealing in Futures Contracts 2015-05-28 2017-08-06
BCZ785 NOLAN Luke William RE Advising on Securities 2014-03-03 2017-08-06
BCZ785 NOLAN Luke William RE Advising on Futures Contracts 2015-05-28 2017-08-06
BDA538 GIBSON Bradley John RE Dealing in Securities 2014-03-12 2017-08-08
BDA538 GIBSON Bradley John RO Dealing in Securities 2017-08-08
BDA538 GIBSON Bradley John RE Dealing in Futures Contracts 2014-03-12 2016-02-16
BDA538 GIBSON Bradley John RO Dealing in Futures Contracts 2016-02-16
BDA538 GIBSON Bradley John RE Advising on Securities 2014-03-12 2017-08-08
BDA538 GIBSON Bradley John RO Advising on Securities 2017-08-08
BDA538 GIBSON Bradley John RE Advising on Futures Contracts 2014-03-12 2016-02-16
BDA538 GIBSON Bradley John RO Advising on Futures Contracts 2016-02-16
BDA538 GIBSON Bradley John RE Asset Management 2014-03-12 2017-08-08
BDA538 GIBSON Bradley John RO Asset Management 2017-08-08
BDD333 GRISE JR Joseph Michael RE Dealing in Securities 2014-03-24 2014-03-29
BDD333 GRISE JR Joseph Michael RE Dealing in Securities 2017-07-31 2017-08-11
BDD333 GRISE JR Joseph Michael RE Dealing in Futures Contracts 2014-03-24 2014-03-29
BDD333 GRISE JR Joseph Michael RE Dealing in Futures Contracts 2017-07-31 2017-08-11
BDF287 HAN Ji Ho RE Dealing in Securities 2014-04-09 2018-07-02
BDF287 HAN Ji Ho RE Advising on Securities 2014-04-09 2018-07-02
BDF370 KANG Ho Jung 姜昊定 RE Dealing in Securities 2014-04-09 2015-09-17
BDF370 KANG Ho Jung 姜昊定 RE Advising on Securities 2014-04-09 2015-09-17
BDI848 TANNENBAUM Nina Fay RE Dealing in Securities 2014-04-29 2014-05-01
BDJ573 YAN Wai Ling 殷惠玲 RE Dealing in Securities 2017-10-18
BDJ573 YAN Wai Ling 殷惠玲 RE Advising on Securities 2017-12-13
BDL105 BROOKS Adam Jon RE Dealing in Securities 2014-05-20 2014-05-21
BDN280 WONG Siu Yin 黃小燕 RE Dealing in Securities 2014-06-04
BDN280 WONG Siu Yin 黃小燕 RE Advising on Securities 2014-06-04
BDQ510 DEARTH Liliana Castillo RE Dealing in Securities 2014-07-07 2014-07-18
BDU410 NIELSEN Klaus Ingemann RE Advising on Securities 2014-07-28 2014-07-30
BEB228 KHAN Shamaila Ashar RE Advising on Securities 2014-09-24 2014-10-01
BEB228 KHAN Shamaila Ashar RE Advising on Securities 2017-03-15 2017-03-16
BEC495 HULLAH James Edward RE Dealing in Securities 2014-09-12
BEC495 HULLAH James Edward RE Dealing in Futures Contracts 2014-09-12
BEC495 HULLAH James Edward RE Advising on Securities 2014-09-12
BEC495 HULLAH James Edward RE Advising on Futures Contracts 2014-09-12
BEC626 LOEWY Daniel Jay RE Advising on Securities 2014-09-12 2014-09-24
BEC626 LOEWY Daniel Jay RE Advising on Securities 2015-08-14 2015-08-14
BEC626 LOEWY Daniel Jay RE Advising on Securities 2016-03-02 2016-03-04
BEC626 LOEWY Daniel Jay RE Advising on Securities 2016-06-27 2016-06-28
BEC626 LOEWY Daniel Jay RE Advising on Securities 2018-07-17 2018-07-18
BEE541 CARSON Joseph Gregory RE Advising on Securities 2014-09-18 2014-09-25
BEE541 CARSON Joseph Gregory RE Advising on Securities 2015-09-21 2015-09-25
BEI876 GRAVERSEN Kenneth RE Dealing in Securities 2014-10-27 2014-10-31
BEN580 CHUNG Sin Wai 鍾蒨蔚 RE Dealing in Securities 2016-12-05
BEN580 CHUNG Sin Wai 鍾蒨蔚 RE Advising on Securities 2016-12-05
BFC567 STASSOPOULOS Anastasios RE Advising on Securities 2015-03-19 2015-03-26
BFD013 MOORE Stephen Lewis RE Dealing in Securities 2015-03-30 2017-01-17
BFD013 MOORE Stephen Lewis RE Dealing in Futures Contracts 2015-03-30 2017-01-17
BFD804 THIAGARAJAN Sundararaman RE Advising on Securities 2015-04-10 2015-04-16
BFE616 SHAH Ashish Champak RE Advising on Securities 2015-04-20 2015-04-24
BFE616 SHAH Ashish Champak RE Advising on Securities 2016-05-19 2016-05-20
BFE616 SHAH Ashish Champak RE Advising on Securities 2017-05-23 2017-05-25
BFI444 MOUNIER Arnaud Francois RE Dealing in Securities 2015-04-29
BFI444 MOUNIER Arnaud Francois RE Dealing in Futures Contracts 2016-05-20 2016-09-12
BFI444 MOUNIER Arnaud Francois RO Dealing in Futures Contracts 2016-09-12
BFI444 MOUNIER Arnaud Francois RE Advising on Securities 2015-04-29
BFI444 MOUNIER Arnaud Francois RE Advising on Futures Contracts 2016-05-20 2016-09-12
BFI444 MOUNIER Arnaud Francois RO Advising on Futures Contracts 2016-09-12
BFJ744 KJAERSGAARD Jorgen Nielsen RE Advising on Securities 2015-05-11 2015-05-15
BFJ744 KJAERSGAARD Jorgen Nielsen RE Advising on Securities 2018-06-12 2018-06-21
BFS502 ZHANG Xuefeng 張雪峰 RE Dealing in Securities 2015-06-29
BFS502 ZHANG Xuefeng 張雪峰 RE Dealing in Futures Contracts 2015-06-29
BFS502 ZHANG Xuefeng 張雪峰 RE Advising on Securities 2015-06-29
BFS502 ZHANG Xuefeng 張雪峰 RE Advising on Futures Contracts 2015-06-29
BFS502 ZHANG Xuefeng 張雪峰 RE Asset Management 2015-06-29
BFW980 PAN Vivian Chor Ying 班楚瑩 RE Dealing in Securities 2017-08-24
BFW980 PAN Vivian Chor Ying 班楚瑩 RE Dealing in Futures Contracts 2017-08-24
BFX498 PU Chi-Ling 溥琪琳 RE Dealing in Securities 2015-07-28 2015-08-28
BFX498 PU Chi-Ling 溥琪琳 RE Dealing in Futures Contracts 2015-07-28 2015-08-28
BFX498 PU Chi-Ling 溥琪琳 RE Advising on Securities 2015-07-28 2015-08-28
BFX498 PU Chi-Ling 溥琪琳 RE Advising on Futures Contracts 2015-07-28 2015-08-28
BGG939 CAI Sheng 蔡盛 RE Dealing in Securities 2018-11-07
BGG939 CAI Sheng 蔡盛 RE Advising on Securities 2018-10-16
BGG939 CAI Sheng 蔡盛 RE Advising on Futures Contracts 2018-12-04
BGH932 NGAI Sze Man 倪詩敏 RE Dealing in Securities 2017-02-02
BGH932 NGAI Sze Man 倪詩敏 RE Dealing in Futures Contracts 2017-02-02
BGI041 YU Wing Hei Sharon 俞穎熹 RE Dealing in Securities 2015-10-07
BGI041 YU Wing Hei Sharon 俞穎熹 RE Dealing in Futures Contracts 2015-10-07
BGI041 YU Wing Hei Sharon 俞穎熹 RE Advising on Securities 2015-10-07
BGI041 YU Wing Hei Sharon 俞穎熹 RE Advising on Futures Contracts 2015-10-07
BGI041 YU Wing Hei Sharon 俞穎熹 RE Asset Management 2015-10-07
BGK418 VIJAYVERGIA Diwakar RE Dealing in Securities 2018-11-21
BGK418 VIJAYVERGIA Diwakar RE Dealing in Futures Contracts 2018-11-21
BGK418 VIJAYVERGIA Diwakar RE Advising on Securities 2018-11-21
BGK418 VIJAYVERGIA Diwakar RE Advising on Futures Contracts 2018-11-21
BGK634 SON Joo Rak RE Dealing in Securities 2015-10-23
BGK634 SON Joo Rak RE Dealing in Futures Contracts 2015-11-26
BGK634 SON Joo Rak RE Advising on Securities 2015-10-23
BGK634 SON Joo Rak RE Advising on Futures Contracts 2015-11-26
BGK634 SON Joo Rak RE Asset Management 2016-02-16
BGK728 MANCHEE Janelle Maree RE Dealing in Securities 2015-10-26 2015-10-31
BGK728 MANCHEE Janelle Maree RE Dealing in Securities 2016-10-31 2016-11-04
BGK728 MANCHEE Janelle Maree RE Dealing in Futures Contracts 2015-10-26 2015-10-31
BGK728 MANCHEE Janelle Maree RE Dealing in Futures Contracts 2016-10-31 2016-11-04
BHB325 LAM Michelle Puishan RE Advising on Securities 2016-03-02 2016-03-04
BHF423 YANG Zijian 楊子健 RE Advising on Securities 2018-11-06
BHF423 YANG Zijian 楊子健 RE Asset Management 2018-11-06
BHH755 CARUSO Frank Vincent RE Dealing in Securities 2016-04-26 2016-04-28
BHH755 CARUSO Frank Vincent RE Dealing in Securities 2017-04-25 2017-04-25
BHH755 CARUSO Frank Vincent RE Advising on Securities 2018-01-15 2018-01-19
BHH755 CARUSO Frank Vincent RE Advising on Securities 2018-06-11 2018-06-14
BHO445 WONG Chung Hang, Timothy 黃頌恆 RE Dealing in Securities 2018-11-16
BHO445 WONG Chung Hang, Timothy 黃頌恆 RE Advising on Securities 2018-11-16
BHV405 LU Li Ying RE Dealing in Securities 2016-07-26
BHV405 LU Li Ying RE Dealing in Futures Contracts 2016-07-26
BHV405 LU Li Ying RE Advising on Securities 2016-07-26
BHV405 LU Li Ying RE Advising on Futures Contracts 2016-07-26
BHV405 LU Li Ying RE Asset Management 2016-07-26
BHY508 TAN Szu-Min Desmond RE Dealing in Securities 2016-08-10
BHY508 TAN Szu-Min Desmond RE Advising on Securities 2016-08-10
BIA073 OHARA Kayoko RE Advising on Securities 2016-08-29 2018-04-30
BIA073 OHARA Kayoko RE Asset Management 2016-08-29 2018-04-30
BIC489 DENG Jingting RE Dealing in Securities 2017-08-10
BIC489 DENG Jingting RE Advising on Securities 2017-08-10
BIL895 CARLSON Monika Bozena RE Dealing in Securities 2016-11-04 2016-11-07
BIL895 CARLSON Monika Bozena RE Advising on Securities 2018-05-07 2018-05-10
BIM671 JOHNSON Christine Marie RE Advising on Securities 2016-11-10 2016-11-10
BIV434 DI MAGGIO Scott A RE Advising on Securities 2017-01-16 2017-01-20
BIV434 DI MAGGIO Scott A RE Advising on Securities 2017-10-24 2017-10-27
BIV434 DI MAGGIO Scott A RE Advising on Securities 2018-09-14 2018-09-20
BIZ383 DACEY Meghan Alice RE Dealing in Securities 2017-01-26 2017-08-23

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