These are the licence-holders that were found for SFC licence institution AEY310 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 |
|---|---|---|---|---|---|---|
| ABG342 | RAFFINI George Alton | RO | Advising on Securities | 2003-04-01 | 2015-12-31 | |
| ABG342 | RAFFINI George Alton | RO | Asset Management | 2003-04-01 | 2015-12-31 | |
| ABY452 | LEUNG Ieng Kit | 梁英杰 | RE | Advising on Securities | 2004-09-20 | 2011-01-01 |
| ABY452 | LEUNG Ieng Kit | 梁英杰 | RE | Asset Management | 2004-05-15 | 2011-01-01 |
| ACB065 | THOMPSON Marcus Peter Strutt | RO | Advising on Securities | 2003-04-01 | 2017-12-31 | |
| ACB065 | THOMPSON Marcus Peter Strutt | RO | Asset Management | 2003-04-01 | 2015-12-31 | |
| ACP149 | YU Kit Wai, Laetitia | 余潔蕙 | RE | Advising on Securities | 2015-11-11 | 2017-09-21 |
| ACP149 | YU Kit Wai, Laetitia | 余潔蕙 | RO | Advising on Securities | 2017-09-21 | 2017-12-31 |
| ACP201 | NAGLE Alasdair Gordon | RO | Advising on Securities | 2003-04-01 | 2012-08-01 | |
| ACP201 | NAGLE Alasdair Gordon | RO | Asset Management | 2003-04-01 | 2012-08-01 | |
| ADB377 | LEUNG Yiu Hung, Raymond | 梁耀雄 | RE | Advising on Securities | 2004-09-20 | 2006-10-17 |
| ADB377 | LEUNG Yiu Hung, Raymond | 梁耀雄 | RO | Advising on Securities | 2006-10-17 | 2014-07-01 |
| ADB377 | LEUNG Yiu Hung, Raymond | 梁耀雄 | RE | Asset Management | 2004-05-15 | 2006-10-17 |
| ADB377 | LEUNG Yiu Hung, Raymond | 梁耀雄 | RO | Asset Management | 2006-10-17 | 2014-07-01 |
| ADW053 | WARNER Vincent James | RO | Advising on Securities | 2003-04-01 | 2007-05-23 | |
| ADW053 | WARNER Vincent James | RO | Asset Management | 2003-04-01 | 2007-05-23 | |
| AEM719 | HO Clara | 何淑韻 | RE | Advising on Securities | 2004-09-20 | 2012-03-01 |
| AEM719 | HO Clara | 何淑韻 | RE | Asset Management | 2004-01-19 | 2012-03-01 |
| AGG535 | SAVAGE James Frederick | RE | Advising on Securities | 2004-09-20 | 2015-05-30 | |
| AGG535 | SAVAGE James Frederick | RE | Asset Management | 2004-05-15 | 2015-05-30 | |
| AGN016 | LEE C. K. | RE | Asset Management | 2003-11-26 | 2004-01-14 | |
| AGU583 | STEWART James Herbert | RO | Advising on Securities | 2015-12-07 | 2017-09-22 | |
| AKV096 | TSE Tik Yang, Denis | 謝迪洋 | RE | Advising on Securities | 2004-10-25 | 2008-04-04 |
| AKV096 | TSE Tik Yang, Denis | 謝迪洋 | RE | Asset Management | 2004-08-10 | 2008-04-04 |
| AMW870 | WANG Chung Kai | 王重凱 | RE | Advising on Securities | 2006-01-25 | 2015-12-31 |
| AMW870 | WANG Chung Kai | 王重凱 | RE | Asset Management | 2006-01-25 | 2015-12-31 |
| ANH781 | LEE Richard | RE | Advising on Securities | 2006-06-08 | 2006-11-03 | |
| ANH781 | LEE Richard | RE | Asset Management | 2006-06-08 | 2006-11-03 | |
| AOB899 | GU Zhigang | 顧志剛 | RE | Advising on Securities | 2007-01-19 | 2007-07-19 |
| AOB899 | GU Zhigang | 顧志剛 | RE | Asset Management | 2007-01-19 | 2007-07-19 |
| AQE085 | XU Hankun | 徐晗坤 | RE | Advising on Securities | 2009-07-03 | 2011-04-01 |
| AQE085 | XU Hankun | 徐晗坤 | RE | Asset Management | 2009-07-03 | 2011-04-01 |
| ARV058 | HUANG Sheng Han | 黃聖涵 | RE | Advising on Securities | 2008-11-24 | 2015-10-31 |
| ARV058 | HUANG Sheng Han | 黃聖涵 | RE | Asset Management | 2008-11-24 | 2015-10-31 |
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