Current licenceholders of AAB027 J.P. Morgan Broking (Hong Kong) Limited
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholder | Role | Licences | Start date |
|---|---|---|---|
| LAW Sum Yee, Purple 羅芯兒 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts), 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-04-12 |
| LYU Yu 呂宇 | RE | 4 (Advising on Securities) | 2021-04-07 |
| CHIN Chiuen Chou Gabriel 陈群洲 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-04-07 |
| GAO Yuyang 高羽洋 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-04-01 |
| HE Yingcheng 賀鷹成 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-03-22 |
| SHI Yafei 史雅菲 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-03-22 |
| MATSUBARA Fuyuki | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 5 (Advising on Futures Contracts) | 2021-03-22 |
| LEE Jungyoon | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2021-03-22 |
| WU Jung-En 吳仲恩 | RE | 4 (Advising on Securities) | 2021-03-22 |
| COUTURE Audrey Juliette Muriel | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-03-15 |
| QI Tong 齐桐 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-03-01 |
| BHANOT Rohan | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 7 (Providing Automated Trading Services) | 2021-02-01 |
| BANCHERDVANICH Terdsak 池文祥 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-02-01 |
| TAN Jie-Li Brina 陳潔麗 | RE | 7 (Providing Automated Trading Services), 4 (Advising on Securities), 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2021-01-29 |
| BLONDIN Axel | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2021-01-25 |
| NICHOLLS William James Roland | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2021-01-22 |
| LI Yue 李悅 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2021-01-20 |
| TAN Jie-Li Brina 陳潔麗 | RE | 1 (Dealing in Securities) | 2021-01-18 |
| WANG Zhong 王忠 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-12-23 |
| LI Yun 黎昀 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-12-18 |
| SU Geni 蘇格尼 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-12-14 |
| ZHU Xue 祝雪 | RE | 2 (Dealing in Futures Contracts), 7 (Providing Automated Trading Services), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-14 |
| WANG Siyu 王絲雨 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-11-16 |
| ANN Gi Hong | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-11-16 |
| PARK Yoon Hyee | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-11-13 |
| CHOO Bee Ling, Elaine | RE | 5 (Advising on Futures Contracts) | 2020-11-09 |
| CHOO Bee Ling, Elaine | RE | 2 (Dealing in Futures Contracts) | 2020-10-14 |
| JIANG Anduo 姜安多 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-10-12 |
| NEO Marcus Wai Siong 梁幃翔 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-10-05 |
| WU Yibo 吴一博 | RE | 4 (Advising on Securities) | 2020-10-05 |
| YAN Denise | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-10-05 |
| LIANG Zhiyuan 梁致源 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2020-09-09 |
| ZHANG Xiao 張瀟 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-09-09 |
| SHAHAPURKAR Nilesh | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-09-08 |
| KONG Ying Er May 江盈儿 | RO | 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities), 5 (Advising on Futures Contracts) | 2020-08-31 |
| PARK Chaeyoung | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-08-24 |
| NAGAR Varun | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-08-24 |
| ZHANG Yi 張易 | RE | 4 (Advising on Securities) | 2020-08-24 |
| MEHTA Anmol Gaurav | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-08-20 |
| PARK Jihyun | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-08-17 |
| ZHU Jiamin 朱佳敏 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-08-10 |
| SORNWANEE Watchara | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-08-03 |
| LOPEZ MURPHY Analia Elena | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-08-03 |
| GUNASINGHE Milinda Kevin | RE | 5 (Advising on Futures Contracts) | 2020-08-03 |
| WONG Ming Yuk 王明旭 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-07-16 |
| CHAUDET Marc-Antoine | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-07-15 |
| HU Qiaolin 胡喬林 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-07-15 |
| TAM Justin Man Ho 譚文浩 | RE | 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2020-07-02 |
| LI Chui In 李翠妍 | RE | 4 (Advising on Securities) | 2020-06-29 |
| SUMMERSALL Thomas Alexander | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-06-16 |
| SU Chang 蘇暢 | RE | 4 (Advising on Securities) | 2020-06-12 |
| XI Xinchan 席新婵 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-04-01 |
| KWOK Fung Kiu 郭豐僑 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-04-01 |
| JIANG Ning 蔣寧 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-03-04 |
| IYER Bhasker | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-02-28 |
| CHIEN Yow Jie | RO | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 5 (Advising on Futures Contracts) | 2020-02-03 |
| HE Xue 何雪 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-02-03 |
| CHENG Martin Wing Hung 鄭穎衡 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-01-23 |
| JIANG Hai 江海 | RE | 1 (Dealing in Securities), 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts), 7 (Providing Automated Trading Services), 4 (Advising on Securities) | 2020-01-22 |
| CHEN Xinyi 陈昕怡 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-01-15 |
| CHEAH Sim Ee 謝心懿 | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2020-01-13 |
| MALIK Osman Riaz | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2020-01-09 |
| SULLIVAN James Robert | RE | 4 (Advising on Securities) | 2020-01-09 |
| CHU Pak Ning, Patrick 朱柏寧 | RE | 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-12-30 |
| JIAO Daqi 焦大齊 | RE | 4 (Advising on Securities) | 2019-12-27 |
| QIU Jieli 邱洁麗 | RE | 4 (Advising on Securities) | 2019-12-27 |
| GARG Sunil | RE | 4 (Advising on Securities) | 2019-12-27 |
| HUNG Yi Hsuan 洪一軒 | RE | 4 (Advising on Securities) | 2019-12-27 |
| CHOI Cheuk Lun 蔡卓倫 | RE | 4 (Advising on Securities) | 2019-12-12 |
| LEUNG Kai Tong 梁啟棠 | RO | 4 (Advising on Securities) | 2019-12-12 |
| NG Jun Jie 黃俊傑 | RE | 4 (Advising on Securities) | 2019-12-12 |
| STAAB Alexander Florian | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-12-06 |
| GOEL Sudhir Nareshkumar 高蘇迪 | RO | 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-12-03 |
| TUDOR Harshika Chandrakant | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-11-29 |
| WANG Ruosi 王若思 | RE | 5 (Advising on Futures Contracts) | 2019-11-15 |
| SUN Kehui | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-11-01 |
| LAN Weibo 蘭蔚波 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-10-28 |
| QUANG Dani Louis Dharma | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-10-24 |
| PLINER Jason Michael | RE | 5 (Advising on Futures Contracts) | 2019-10-10 |
| DHAMI Jastej Singh | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-10-08 |
| TAN Ming Fung, Eric 鄧銘峰 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-10-02 |
| PLINER Jason Michael | RE | 2 (Dealing in Futures Contracts) | 2019-09-26 |
| YAO Qian 姚倩 | RE | 4 (Advising on Securities) | 2019-09-18 |
| SIT Yiu Fai 薛耀暉 | RE | 1 (Dealing in Securities), 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2019-09-06 |
| XIA Yufei 夏宇飛 | RE | 5 (Advising on Futures Contracts) | 2019-09-04 |
| WANG Ling | RE | 4 (Advising on Securities) | 2019-08-30 |
| HUANG Sheng-Hsiang 黃聖翔 | RE | 4 (Advising on Securities) | 2019-08-30 |
| HU Anqi 胡安祺 | RE | 4 (Advising on Securities) | 2019-08-29 |
| XIA Yufei 夏宇飛 | RE | 2 (Dealing in Futures Contracts) | 2019-08-29 |
| FLORIN Benjamin Harry | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-08-28 |
| XU Yifan 徐一凡 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-08-27 |
| SONG Haoze 宋昊泽 | RE | 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities), 5 (Advising on Futures Contracts) | 2019-08-26 |
| LOCK Wing To 駱詠濤 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-08-23 |
| AU Kai Man 區繼文 | RE | 4 (Advising on Securities) | 2019-08-20 |
| MODI Harsh Wardhan | RE | 4 (Advising on Securities) | 2019-08-19 |
| CHEN Yi 陳頤 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-08-19 |
| SISSO Xavier Paul Axel | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-08-16 |
| CHEUNG Chung Yan 蔣頌欣 | RE | 4 (Advising on Securities) | 2019-08-12 |
| TSO Yun Tak 曹潤德 | RE | 4 (Advising on Securities) | 2019-08-12 |
| WONG Hoi Yin 黃凱妍 | RE | 4 (Advising on Securities) | 2019-08-09 |
| FU Han 付寒 | RE | 4 (Advising on Securities) | 2019-08-07 |
| YIN Yun 殷贇 | RE | 4 (Advising on Securities) | 2019-08-07 |
| HONG Ying Hui 方穎慧 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-08-06 |
| HUANG Wenyi 黃文怡 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-08-05 |
| XIA Shujie 夏纾捷 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-08-05 |
| DE BEST Bregje Maria Gerardina | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-08-02 |
| YANG Yuxuan 楊宇軒 | RE | 1 (Dealing in Securities), 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2019-08-02 |
| CHEN Qi 陳祺 | RE | 4 (Advising on Securities) | 2019-08-01 |
| CAI Mingzhu 蔡明珠 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-07-29 |
| CHAN Avery 陳景燊 | RE | 4 (Advising on Securities) | 2019-07-26 |
| FENG Hao 馮浩 | RE | 5 (Advising on Futures Contracts) | 2019-07-26 |
| TSUI Stephen Tien-wei 徐天偉 | RE | 4 (Advising on Securities) | 2019-07-26 |
| LI Xiao Yu 李晓宇 | RE | 4 (Advising on Securities) | 2019-07-17 |
| DANG Xuyang 党煦阳 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-07-17 |
| FENG Hao 馮浩 | RE | 2 (Dealing in Futures Contracts) | 2019-07-15 |
| ACTON Daniel Thomas | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-07-15 |
| WADE Simon James | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts), 4 (Advising on Securities) | 2019-07-12 |
| JIM Chi Tsun 詹子浚 | RE | 4 (Advising on Securities) | 2019-07-08 |
| ONG Rui Hua, Parsley 王瑞華 | RE | 4 (Advising on Securities) | 2019-07-08 |
| CHAN Karl Man Ho 陳文浩 | RE | 4 (Advising on Securities) | 2019-07-08 |
| WEI Fenghua 尉丰华 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-07-05 |
| WADE Simon James | RE | 1 (Dealing in Securities), 7 (Providing Automated Trading Services) | 2019-07-02 |
| WEI Ziqing 魏子清 | RE | 4 (Advising on Securities) | 2019-06-27 |
| LI Yu-yun 李郁勻 | RE | 4 (Advising on Securities) | 2019-06-26 |
| TAO Di Dylon 陶迪 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-06-24 |
| YAO Cheng 姚橙 | RE | 4 (Advising on Securities) | 2019-06-21 |
| KIM Dongsup 金東燮 | RE | 4 (Advising on Securities) | 2019-06-21 |
| WEN Yun. Rebecca 溫筠 | RE | 4 (Advising on Securities) | 2019-06-21 |
| LI Lok Hang 李洛衡 | RE | 4 (Advising on Securities) | 2019-06-21 |
| ZHU Haibin 朱海斌 | RE | 4 (Advising on Securities) | 2019-06-20 |
| MAOLANON Nond | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-06-17 |
| ZHANG Han 張瀚 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-06-17 |
| KIM Myungwook 金明旭 | RE | 4 (Advising on Securities) | 2019-06-11 |
| WEI Po 魏柏修 | RE | 4 (Advising on Securities) | 2019-06-11 |
| KENDALL Jason Lee | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-06-10 |
| YAN Zhichao 晏志超 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-06-10 |
| WHALE Patrick Xavier | RE | 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 5 (Advising on Futures Contracts), 1 (Dealing in Securities) | 2019-06-10 |
| HE Peng 何鵬 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-06-03 |
| YIN He 尹賀 | RE | 4 (Advising on Securities) | 2019-05-20 |
| HARIHARAN Gokul | RE | 4 (Advising on Securities) | 2019-05-20 |
| LEI Lai Lai, Katherine 李麗麗 | RE | 4 (Advising on Securities) | 2019-05-20 |
| WU Elaine 胡伊玲 | RE | 4 (Advising on Securities) | 2019-05-20 |
| MUKHI Atul Kumar | RE | 4 (Advising on Securities), 7 (Providing Automated Trading Services), 1 (Dealing in Securities) | 2019-05-06 |
| TANG Chung Shun, Isaac 鄧忠舜 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-04-08 |
| LEUNG Chi Man 梁治文 | RE | 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2019-03-26 |
| HON Wing Lun 韓詠麟 | RE | 4 (Advising on Securities) | 2019-03-15 |
| MC QUADE Ryan F | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2019-02-14 |
| BELL Matthew Tresilian | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-02-01 |
| LAU Joseph Han Wai 劉恆瑋 | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-01-28 |
| MALIK Osman Riaz | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-01-22 |
| KIM Cherin | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2019-01-18 |
| CHIANG Ming Zuei Charles 江明叡 | RO | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-12-19 |
| LEE Jae Young | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-12-06 |
| CHOPRA Abhishek | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-12-03 |
| CHAN Chi Ho, Ron 陳志豪 | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-11-30 |
| LEE Chang Cheng 李昌檉 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-11-26 |
| KELLY Stephen Wood | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-11-21 |
| GRIFFIN Timothy John | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-11-14 |
| LUK Tsz Ming 陸梓銘 | RE | 5 (Advising on Futures Contracts) | 2018-11-05 |
| LEE Kam In 李錦妍 | RE | 4 (Advising on Securities), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-11-05 |
| HAN Xuyi 韩絮漪 | RE | 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities), 5 (Advising on Futures Contracts) | 2018-11-01 |
| SHOEN Esben Leonard Berg | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-10-26 |
| LIU Tao 柳桃 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-10-12 |
| LIKASITH Pakitta | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-10-09 |
| CHENG Ka Yan 鄭嘉欣 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-09-28 |
| IYER Ananthanarayan Srinivasan | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-09-28 |
| HIRST Linmarie | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-09-28 |
| AKITO Shuichi | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-09-26 |
| CHEN Wenqi 陳文琦 | RE | 5 (Advising on Futures Contracts) | 2018-09-26 |
| WANG Yueh-wen 王玥文 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-09-14 |
| BLANCO GOMEZ Felipe | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-09-10 |
| CHEN Wenqi 陳文琦 | RE | 2 (Dealing in Futures Contracts) | 2018-08-31 |
| TONG Lok Wai, Daniel 湯樂維 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-08-27 |
| YEUNG Yu Wai 楊宇慧 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-08-15 |
| PI Xiaoduo 皮小多 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-08-14 |
| ZHU Ting 朱汀 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-08-06 |
| MO Ziqian 莫子倩 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-07-12 |
| JUNG Su Hyun 鄭守玹 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-07-03 |
| LIN Zicheng 林紫澄 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-07-03 |
| MAK Lok Ki 麥洛琪 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-06-29 |
| CHUI Siu Ming 徐兆銘 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-06-25 |
| CHOI Jasen | RE | 1 (Dealing in Securities), 7 (Providing Automated Trading Services), 4 (Advising on Securities) | 2018-06-25 |
| CHUNG Ching Yao 鍾景堯 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-05-04 |
| TAO Suheng 陶蘇衡 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities), 7 (Providing Automated Trading Services) | 2018-04-16 |
| BATTEN Richard Michael | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2018-04-03 |
| ZHENG Liang 鄭靚 | RE | 5 (Advising on Futures Contracts), 7 (Providing Automated Trading Services), 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-03-15 |
| SITBON Raphael Georges | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-03-12 |
| YIP Ping Hang 葉秉恒 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-03-08 |
| JI Wencheng 季文誠 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-03-08 |
| BUFFHAM Laura Jayne | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-03-06 |
| LI Yannan 李妍南 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2018-02-05 |
| OOI Pei Yi 黃培宇 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2018-01-31 |
| MC KEOWN Darryl Patrick | RO | 4 (Advising on Securities), 7 (Providing Automated Trading Services), 1 (Dealing in Securities) | 2017-11-15 |
| FORTE Francesco | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-11-02 |
| MATHUR Puneet | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-10-11 |
| GOEL Sudhir Nareshkumar 高蘇迪 | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-10-10 |
| WONG Chun Wing 黃俊穎 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-09-20 |
| LI Hongxu 李宏旭 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-09-11 |
| DAS Shubhankar | RE | 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2017-09-04 |
| HORNG Jia-yi 洪家怡 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-09-01 |
| RODRIGUEZ-CANO JULIA Francisco De Borja | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-08-30 |
| TOTH Alexandra Marie | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 7 (Providing Automated Trading Services), 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2017-08-07 |
| WANG Anqi 王安奇 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-08-07 |
| HO Nathan Ma 賀亞光 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-08-07 |
| JUNG Joong Hoon 鄭重勳 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-08-01 |
| DILLON Elaine Jacqueline 杜綺玲 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-07-18 |
| JIM Jessica Sze Ho 詹詩皓 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-07-14 |
| ZHANG Yukun 張裕坤 | RE | 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2017-06-26 |
| SHOEN Esben Leonard Berg | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-06-21 |
| YOW Chee Kim 姚志錦 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-06-06 |
| JAKEWAY Craig | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-06-01 |
| WHYE Jun-yuan, Andre 韋俊源 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-05-11 |
| YEUNG Chak Man Gabriel 楊澤民 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-05-11 |
| DING Xueci 丁雪慈 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2017-05-04 |
| OW Shin Yeuan 歐欣遠 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-03-27 |
| CHEUNG Sau Chu 張秀珠 | RE | 4 (Advising on Securities), 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-03-20 |
| TOM Edward 譚子平 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-03-13 |
| LIN Lylette 林佳靜 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2017-01-25 |
| LAU Ching Yan Ada 劉正欣 | RE | 5 (Advising on Futures Contracts), 4 (Advising on Securities) | 2017-01-19 |
| CHEUNG Chi Cheuk, Cedric 張智卓 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-12-22 |
| LUI Kwan Kit 雷琨傑 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-12-22 |
| WILSON Duncan William Palmer | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-12-12 |
| DHARMA Ronny Budi | RE | 1 (Dealing in Securities), 5 (Advising on Futures Contracts), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2016-12-01 |
| SHIU Man Yee 蕭敏怡 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-11-23 |
| FANG Siying 方思穎 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-11-14 |
| SUCHARITKUL Arddanai Marco | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-11-14 |
| CHEN Stephanie | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-10-24 |
| BELANI Jitendra | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-10-11 |
| LUONG Sieu Quang 梁兆光 | RE | 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 4 (Advising on Securities) | 2016-09-06 |
| GORMLEY Michael Kenneth | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-09-01 |
| KIBBLE James Douglas Nash | RO | 4 (Advising on Securities), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2016-07-18 |
| STEARN Nicholas Antony | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-07-07 |
| LIU Ming-Hsin 劉明鑫 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-07-05 |
| FLEET Matthew Roy | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-07-04 |
| KOLASA Tomasz Krzysztof | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 7 (Providing Automated Trading Services) | 2016-06-27 |
| ZHENG Hanxia 鄭寒夏 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-06-16 |
| HILLS-INGYON James Stephen | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-06-10 |
| MERCHANT Salman Akhtar | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-04-28 |
| WOOLTERTON Keith Alan | RO | 7 (Providing Automated Trading Services), 1 (Dealing in Securities) | 2016-04-15 |
| ZHANG Harvey Yang | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-03-29 |
| MC KEOWN Darryl Patrick | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-03-24 |
| GIGOV Valery Slavtchev | RE | 7 (Providing Automated Trading Services) | 2016-03-21 |
| MAAREK Pierre, Lorn, Axel, Samuel | RE | 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2016-03-18 |
| MODIANO Camille | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities) | 2016-03-14 |
| GARG Vipul | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-02-23 |
| LI Wanqi 李婉琪 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2016-02-22 |
| SIU Chi Tat 蕭志達 | RE | 7 (Providing Automated Trading Services) | 2016-02-22 |
| JIANG Yiyue 蔣億月 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-02-22 |
| HOLSHEIMER Ryan Hans | RO | 7 (Providing Automated Trading Services), 4 (Advising on Securities), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2016-01-15 |
| LEE Hannah Loxime 李樂心 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2016-01-05 |
| GIGOV Valery Slavtchev | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-11-27 |
| MAHOLO Issey Jose | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-11-27 |
| PANJABI Ashwin Mohan | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-09-01 |
| SERFATI Stephane David | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-08-18 |
| WOOLTERTON Keith Alan | RE | 4 (Advising on Securities) | 2015-08-03 |
| FANG Siying 方思穎 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2015-07-09 |
| CHAN Ka Yan 陳家寅 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-07-08 |
| KO Ming Tung 高銘東 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-07-02 |
| LO Wing Ki, Vickie 羅穎琦 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-05-26 |
| JOHNSON Joseph Mark | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-05-15 |
| PAL Shomrita | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-05-15 |
| SERAFINO Mario John | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-05-14 |
| CORNILLE Franck Jean-Michel Roger Henri | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-05-11 |
| DAOU Mourad | RE | 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2015-04-23 |
| AN Qi 安琪 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-03-30 |
| WANG Tianyu 王天宇 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-03-09 |
| HUNG Ching Man 孔靖汶 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-02-26 |
| CARNEVALI Angelo | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2015-02-23 |
| MAALIKOUM Abdelouahd 馬宥德 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2015-01-16 |
| JAMES Benjamin Anthony | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2014-10-06 |
| WURTZ Gregory Aaron | RE | 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 4 (Advising on Securities) | 2014-09-01 |
| CHAPMAN Daniel John | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2014-07-28 |
| SIU Chi Tat 蕭志達 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2014-05-02 |
| WEN Lihua 溫麗華 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2014-04-30 |
| CHING Yin Man Erica 程讌雯 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2014-04-14 |
| BIGOS Brian T | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2014-04-14 |
| LEE Tony Sai Kuen 李世權 | RO | 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2014-04-03 |
| CHOU Yen Hua 周讌華 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2014-04-02 |
| YANG Yi 楊昳 | RE | 1 (Dealing in Securities), 5 (Advising on Futures Contracts), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2014-03-18 |
| CHOI Ji Yoon | RE | 2 (Dealing in Futures Contracts) | 2014-02-28 |
| SEO Hae Ryung 徐海鈴 | RE | 2 (Dealing in Futures Contracts) | 2014-02-19 |
| CHIANG Ming Zuei Charles 江明叡 | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2014-02-11 |
| STITT Samuel James | RE | 2 (Dealing in Futures Contracts) | 2014-01-29 |
| YU Gregory Hock-ken 余學勤 | RO | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2014-01-27 |
| GHOSH Sankha | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2014-01-24 |
| CHOI Ji Yoon | RE | 5 (Advising on Futures Contracts) | 2013-10-21 |
| WANG Gu Wen 王谷文 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2013-10-21 |
| STITT Samuel James | RE | 5 (Advising on Futures Contracts) | 2013-09-23 |
| LEUNG Kit Ling, Lydia 梁潔靈 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2013-07-29 |
| MILTON Andrew | RE | 7 (Providing Automated Trading Services), 1 (Dealing in Securities), 4 (Advising on Securities) | 2013-07-02 |
| BEL HADJ AMOR Alain Bruno | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2013-07-02 |
| ZHANG He 張賀 | RE | 4 (Advising on Securities), 5 (Advising on Futures Contracts) | 2013-06-03 |
| LIU Haoshun 柳皓順 | RE | 5 (Advising on Futures Contracts), 4 (Advising on Securities) | 2013-05-07 |
| CHEUNG Calvin Chi-chun 張子雋 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2013-01-17 |
| SEO Hae Ryung 徐海鈴 | RE | 5 (Advising on Futures Contracts) | 2012-08-20 |
| PIN Man Lan 卞文蘭 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2012-07-04 |
| IP Vincent Wai Chung 葉維中 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2012-06-01 |
| CHU Pak Ning, Patrick 朱柏寧 | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2012-04-13 |
| NAITO Kazuma 內藤一真 | RO | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2012-04-13 |
| LUI Kwan Kit 雷琨傑 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2012-02-01 |
| BELL Edward Holden | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2011-10-03 |
| CHEUNG Chi Cheuk, Cedric 張智卓 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2010-05-10 |
| GARG Deepak | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2010-05-03 |
| ZAO Audrey 邵志佳 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2010-03-29 |
| DUJARI Vipul | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2010-03-18 |
| CHANDRAMOULI Arun | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2009-10-19 |
| HE Jia 賀嘉 | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2008-09-11 |
| ASSOMULL Yovan Vijay | RE | 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) | 2008-07-28 |
| WONG Claudio 王久昌 | RE | 5 (Advising on Futures Contracts) | 2008-06-24 |
| WONG Claudio 王久昌 | RE | 2 (Dealing in Futures Contracts) | 2008-06-05 |
| PRACEY-SMITH Robert Dowden | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2007-10-10 |
| TONG Lok Wai, Daniel 湯樂維 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2007-10-05 |
| GORDON Steven Barry | RE | 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) | 2007-06-08 |
| LI Yuen Shan 李婉珊 | RE | 4 (Advising on Securities) | 2007-04-24 |
| LAU On Ching, Desmond 劉安正 | RE | 4 (Advising on Securities), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2007-02-07 |
| LI Yuen Shan 李婉珊 | RE | 1 (Dealing in Securities) | 2006-06-14 |