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 |
|---|---|---|---|
| GILMAN Lisa | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 14 April 2020 |
| XI Xinchan 席新婵 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 April 2020 |
| KWOK Fung Kiu 郭豐僑 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 April 2020 |
| JIANG Ning 蔣寧 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 04 March 2020 |
| IYER Bhasker | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 February 2020 |
| CHIEN Yow Jie | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 03 February 2020 |
| HE Xue 何雪 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 February 2020 |
| CHENG Martin Wing Hung 鄭穎衡 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 23 January 2020 |
| JIANG Hai 江海 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 22 January 2020 |
| CHEN Xinyi 陈昕怡 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 15 January 2020 |
| CHEAH Sim Ee 謝心懿 | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 13 January 2020 |
| SULLIVAN James Robert | RE | [4] (Advising on Securities) | 09 January 2020 |
| CHU Pak Ning, Patrick 朱柏寧 | RE | [7] (Providing Automated Trading Services) | 30 December 2019 |
| GARG Sunil | RE | [4] (Advising on Securities) | 27 December 2019 |
| HUNG Yi Hsuan 洪一軒 | RE | [4] (Advising on Securities) | 27 December 2019 |
| QIU Jieli 邱洁麗 | RE | [4] (Advising on Securities) | 27 December 2019 |
| JIAO Daqi 焦大齊 | RE | [4] (Advising on Securities) | 27 December 2019 |
| FENG Lingtian 馮令天 | RE | [4] (Advising on Securities) | 24 December 2019 |
| CHEN Lin 陳林 | RE | [4] (Advising on Securities) | 20 December 2019 |
| AN An 安安 | RE | [4] (Advising on Securities) | 20 December 2019 |
| HUANG Tian 黃天 | RE | [4] (Advising on Securities) | 20 December 2019 |
| YANG Yuhao 楊宇豪 | RE | [4] (Advising on Securities) | 20 December 2019 |
| LEUNG Kai Tong 梁啟棠 | RO | [4] (Advising on Securities) | 12 December 2019 |
| NG Jun Jie 黃俊傑 | RE | [4] (Advising on Securities) | 12 December 2019 |
| CHOI Cheuk Lun 蔡卓倫 | RE | [4] (Advising on Securities) | 12 December 2019 |
| STAAB Alexander Florian | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 December 2019 |
| GOEL Sudhir Nareshkumar 高蘇迪 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 03 December 2019 |
| WANG Ruosi 王若思 | RE | [5] (Advising on Futures Contracts) | 15 November 2019 |
| SUN Kehui | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 November 2019 |
| TONINE-DI MEGLIO Alix Marie Victorie | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 November 2019 |
| LAN Weibo 蘭蔚波 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 October 2019 |
| QUANG Dani Louis Dharma | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 October 2019 |
| SUMMERSALL Thomas Alexander | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 October 2019 |
| PLINER Jason Michael | RE | [5] (Advising on Futures Contracts) | 10 October 2019 |
| DHAMI Jastej Singh | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 October 2019 |
| TAN Ming Fung, Eric 鄧銘峰 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 02 October 2019 |
| PLINER Jason Michael | RE | [2] (Dealing in Futures Contracts) | 26 September 2019 |
| LAI Yi-Che 賴以哲 | RE | [4] (Advising on Securities) | 23 September 2019 |
| YAO Qian 姚倩 | RE | [4] (Advising on Securities) | 18 September 2019 |
| LAVATELLI Francesco | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 12 September 2019 |
| SIT Yiu Fai 薛耀暉 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 06 September 2019 |
| XIA Yufei 夏宇飛 | RE | [5] (Advising on Futures Contracts) | 04 September 2019 |
| HUANG Sheng-Hsiang 黃聖翔 | RE | [4] (Advising on Securities) | 30 August 2019 |
| WANG Ling | RE | [4] (Advising on Securities) | 30 August 2019 |
| XIA Yufei 夏宇飛 | RE | [2] (Dealing in Futures Contracts) | 29 August 2019 |
| HU Anqi 胡安祺 | RE | [4] (Advising on Securities) | 29 August 2019 |
| CHE Xiaoya 車晓婭 | RE | [4] (Advising on Securities) | 28 August 2019 |
| FLORIN Benjamin Harry | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 August 2019 |
| XU Yifan 徐一凡 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 27 August 2019 |
| SONG Haoze 宋昊泽 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 26 August 2019 |
| LOCK Wing To 駱詠濤 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 23 August 2019 |
| AU Kai Man 區繼文 | RE | [4] (Advising on Securities) | 20 August 2019 |
| CHEN Yi 陳頤 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 19 August 2019 |
| MODI Harsh Wardhan | RE | [4] (Advising on Securities) | 19 August 2019 |
| SISSO Xavier Paul Axel | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 16 August 2019 |
| CHEUNG Chung Yan 蔣頌欣 | RE | [4] (Advising on Securities) | 12 August 2019 |
| TSO Yun Tak 曹潤德 | RE | [4] (Advising on Securities) | 12 August 2019 |
| ZHANG Yashen 張亞紳 | RE | [4] (Advising on Securities) | 09 August 2019 |
| WONG Hoi Yin 黃凱妍 | RE | [4] (Advising on Securities) | 09 August 2019 |
| FU Han 付寒 | RE | [4] (Advising on Securities) | 07 August 2019 |
| YIN Yun 殷贇 | RE | [4] (Advising on Securities) | 07 August 2019 |
| ZHANG Siran 張思然 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 August 2019 |
| O'SULLIVAN Maurice | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 August 2019 |
| HUANG Wenyi 黃文怡 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 August 2019 |
| LIN Shing Chun, Ambrose 連誠駿 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 August 2019 |
| XIA Shujie 夏纾捷 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 August 2019 |
| CHEN Xiaoheng 陈晓珩 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 August 2019 |
| YANG Yuxuan 楊宇軒 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 02 August 2019 |
| CHEN Qi 陳祺 | RE | [4] (Advising on Securities) | 01 August 2019 |
| MU Lei 穆磊 | RE | [4] (Advising on Securities) | 01 August 2019 |
| CAI Lingfeng 蔡凌峰 | RE | [4] (Advising on Securities) | 01 August 2019 |
| CAI Mingzhu 蔡明珠 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 29 July 2019 |
| CHENG Jingyi 程憬伊 | RE | [4] (Advising on Securities) | 26 July 2019 |
| FENG Hao 馮浩 | RE | [5] (Advising on Futures Contracts) | 26 July 2019 |
| CHAN Avery 陳景燊 | RE | [4] (Advising on Securities) | 26 July 2019 |
| TSUI Stephen Tien-wei 徐天偉 | RE | [4] (Advising on Securities) | 26 July 2019 |
| DANG Xuyang 党煦阳 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 17 July 2019 |
| LI Xiao Yu 李晓宇 | RE | [4] (Advising on Securities) | 17 July 2019 |
| DING Binbin 丁彬彬 | RE | [4] (Advising on Securities) | 17 July 2019 |
| FENG Hao 馮浩 | RE | [2] (Dealing in Futures Contracts) | 15 July 2019 |
| ACTON Daniel Thomas | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 15 July 2019 |
| WADE Simon James | RE | [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 12 July 2019 |
| JIM Chi Tsun 詹子浚 | RE | [4] (Advising on Securities) | 08 July 2019 |
| CHAN Karl Man Ho 陳文浩 | RE | [4] (Advising on Securities) | 08 July 2019 |
| ONG Rui Hua, Parsley 王瑞華 | RE | [4] (Advising on Securities) | 08 July 2019 |
| WEI Fenghua 尉丰华 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 July 2019 |
| WADE Simon James | RE | [1] (Dealing in Securities), [7] (Providing Automated Trading Services) | 02 July 2019 |
| WEI Ziqing 魏子清 | RE | [4] (Advising on Securities) | 27 June 2019 |
| LI Yu-yun 李郁勻 | RE | [4] (Advising on Securities) | 26 June 2019 |
| CHEN Marvin Min-Kong 陳明康 | RE | [4] (Advising on Securities) | 24 June 2019 |
| TAO Di Dylon 陶迪 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 June 2019 |
| LI Lok Hang 李洛衡 | RE | [4] (Advising on Securities) | 21 June 2019 |
| XU Nan 徐楠 | RE | [4] (Advising on Securities) | 21 June 2019 |
| KIM Dongsup 金東燮 | RE | [4] (Advising on Securities) | 21 June 2019 |
| WEN Yun. Rebecca 溫筠 | RE | [4] (Advising on Securities) | 21 June 2019 |
| YAO Cheng 姚橙 | RE | [4] (Advising on Securities) | 21 June 2019 |
| ZHU Haibin 朱海斌 | RE | [4] (Advising on Securities) | 20 June 2019 |
| ZHANG Han 張瀚 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 17 June 2019 |
| MAOLANON Nond | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 17 June 2019 |
| DECLIPPELEIR Olivier, Francois | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 17 June 2019 |
| WEI Po 魏柏修 | RE | [4] (Advising on Securities) | 11 June 2019 |
| DARLING Scott Lee | RE | [4] (Advising on Securities) | 11 June 2019 |
| HILADO Maria Elena Del Rosario | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 June 2019 |
| KIM Myungwook 金明旭 | RE | [4] (Advising on Securities) | 11 June 2019 |
| WHALE Patrick Xavier | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 10 June 2019 |
| KENDALL Jason Lee | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 10 June 2019 |
| YAN Zhichao 晏志超 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 10 June 2019 |
| HE Peng 何鵬 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 June 2019 |
| YIN He 尹賀 | RE | [4] (Advising on Securities) | 20 May 2019 |
| WU Elaine 胡伊玲 | RE | [4] (Advising on Securities) | 20 May 2019 |
| LEI Lai Lai, Katherine 李麗麗 | RE | [4] (Advising on Securities) | 20 May 2019 |
| HARIHARAN Gokul | RE | [4] (Advising on Securities) | 20 May 2019 |
| MUKHI Atul Kumar | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 06 May 2019 |
| KIM Young Wook | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 26 April 2019 |
| TANG Chung Shun, Isaac 鄧忠舜 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 April 2019 |
| HON Wing Lun 韓詠麟 | RE | [4] (Advising on Securities) | 15 March 2019 |
| HSU Chiao Chih 許喬智 | RE | [4] (Advising on Securities) | 15 March 2019 |
| WONG Calvin Chee Jun 王梓隽 | RE | [4] (Advising on Securities) | 15 March 2019 |
| LIN Quan 林泉 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 13 March 2019 |
| MC QUADE Ryan F | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 February 2019 |
| LIU Zhongyi 刘众仪 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 February 2019 |
| BELL Matthew Tresilian | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 February 2019 |
| LAU Joseph Han Wai 劉恆瑋 | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 January 2019 |
| SO Darren Tsu Hei 蘇儲晞 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 January 2019 |
| MALIK Osman Riaz | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 22 January 2019 |
| CHUNG Amy Nga Yen 鍾雅欣 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 21 January 2019 |
| KIM Cherin | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 18 January 2019 |
| LEE Jae Young | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 December 2018 |
| CHOPRA Abhishek | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 December 2018 |
| CHAN Chi Ho, Ron 陳志豪 | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 30 November 2018 |
| LEE Chang Cheng 李昌檉 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 26 November 2018 |
| LUK Tsz Ming 陸梓銘 | RE | [5] (Advising on Futures Contracts) | 05 November 2018 |
| LEE Kam In 李錦妍 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 05 November 2018 |
| HAN Xuyi 韩絮漪 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 01 November 2018 |
| LIU Tao 柳桃 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 12 October 2018 |
| LIKASITH Pakitta | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 09 October 2018 |
| IYER Ananthanarayan Srinivasan | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 September 2018 |
| HIRST Linmarie | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 September 2018 |
| CHENG Ka Yan 鄭嘉欣 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 September 2018 |
| BRUCE Andrew Ronald | RE | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 27 September 2018 |
| CHEN Wenqi 陳文琦 | RE | [5] (Advising on Futures Contracts) | 26 September 2018 |
| AKITO Shuichi | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 26 September 2018 |
| WANG Yueh-wen 王玥文 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 September 2018 |
| BRUCE Andrew Ronald | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) | 10 September 2018 |
| LIN Xinxiang, Leroy | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 September 2018 |
| CHEN Wenqi 陳文琦 | RE | [2] (Dealing in Futures Contracts) | 31 August 2018 |
| TONG Lok Wai, Daniel 湯樂維 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 27 August 2018 |
| MICHAEL Benjamin Ross Wallington | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 15 August 2018 |
| YEUNG Yu Wai 楊宇慧 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 15 August 2018 |
| PI Xiaoduo 皮小多 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 August 2018 |
| ZHU Ting 朱汀 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 August 2018 |
| ZHANG Yundi 张韵笛 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 August 2018 |
| JANG Seo Young | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 16 July 2018 |
| MO Ziqian 莫子倩 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 12 July 2018 |
| SHI Jiangnan 施江南 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 July 2018 |
| LIN Zicheng 林紫澄 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 July 2018 |
| JUNG Su Hyun 鄭守玹 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 July 2018 |
| SONG Yiliu 宋逸鎏 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 29 June 2018 |
| MAK Lok Ki 麥洛琪 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 29 June 2018 |
| CHUI Siu Ming 徐兆銘 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 25 June 2018 |
| CHOI Jasen | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 25 June 2018 |
| BIAN Yiran 邊亦然 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 19 June 2018 |
| DE ANGELI Piero | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 June 2018 |
| CHUNG Ching Yao 鍾景堯 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 04 May 2018 |
| KOO Bon Chol | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 23 April 2018 |
| TAO Suheng 陶蘇衡 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 16 April 2018 |
| BATTEN Richard Michael | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 03 April 2018 |
| GU Ying 顧穎 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 April 2018 |
| HUANG Tiancheng 黃天成 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 26 March 2018 |
| ZHENG Liang 鄭靚 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 15 March 2018 |
| SITBON Raphael Georges | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 12 March 2018 |
| YIP Ping Hang 葉秉恒 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 March 2018 |
| JI Wencheng 季文誠 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 March 2018 |
| BUFFHAM Laura Jayne | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 March 2018 |
| LI Yannan 李妍南 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 February 2018 |
| MC KEOWN Darryl Patrick | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 15 November 2017 |
| FORTE Francesco | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 02 November 2017 |
| TSENG Chang Chun 曾長駿 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 30 October 2017 |
| MATHUR Puneet | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 October 2017 |
| GOEL Sudhir Nareshkumar 高蘇迪 | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 10 October 2017 |
| WONG Chun Wing 黃俊穎 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 20 September 2017 |
| ZHANG Yici 張亦慈 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 18 September 2017 |
| LI Hongxu 李宏旭 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 September 2017 |
| DAS Shubhankar | RE | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 04 September 2017 |
| HORNG Jia-yi 洪家怡 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 September 2017 |
| RODRIGUEZ-CANO JULIA Francisco De Borja | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 30 August 2017 |
| ZHAI Yanni 翟彥妮 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 08 August 2017 |
| WANG Anqi 王安奇 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 07 August 2017 |
| HO Nathan Ma 賀亞光 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 07 August 2017 |
| TOTH Alexandra Marie | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 07 August 2017 |
| JUNG Joong Hoon 鄭重勳 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 August 2017 |
| DORAN Elaine Jacqueline 杜綺玲 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 18 July 2017 |
| JIM Jessica Sze Ho 詹詩皓 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 July 2017 |
| ZHANG YUKUN 張裕坤 | RE | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 26 June 2017 |
| YOW Chee Kim 姚志錦 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 June 2017 |
| JAKEWAY Craig | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 June 2017 |
| YEUNG Chak Man Gabriel 楊澤民 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 May 2017 |
| WHYE Jun-yuan, Andre 韋俊源 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 May 2017 |
| DING Xueci 丁雪慈 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 04 May 2017 |
| OW Shin Yeuan 歐欣遠 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 27 March 2017 |
| CHEUNG Sau Chu 張秀珠 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 20 March 2017 |
| TOM Edward 譚子平 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 13 March 2017 |
| EVANS Stuart | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 15 February 2017 |
| LIN Lylette 林佳靜 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 25 January 2017 |
| LAU Ching Yan Ada 劉正欣 | RE | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 19 January 2017 |
| CHEUNG Chi Cheuk, Cedric 張智卓 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 22 December 2016 |
| LUI Kwan Kit 雷琨傑 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 22 December 2016 |
| WILSON Duncan William Palmer | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 12 December 2016 |
| DHARMA Ronny Budi | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 01 December 2016 |
| SHIU Man Yee 蕭敏怡 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 23 November 2016 |
| SUCHARITKUL Arddanai Marco | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 November 2016 |
| CHEN Stephanie | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 October 2016 |
| FANG Fang 方芳 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 12 October 2016 |
| BELANI Jitendra | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 11 October 2016 |
| LUONG Sieu Quang 梁兆光 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 06 September 2016 |
| ZHU Xuhua 朱栩樺 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 September 2016 |
| GORMLEY Michael Kenneth | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 September 2016 |
| MA Li 馬力 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 18 August 2016 |
| KIBBLE James Douglas Nash | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 18 July 2016 |
| STEARN Nicholas Antony | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 07 July 2016 |
| LIU Ming-Hsin 劉明鑫 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 July 2016 |
| FLEET Matthew Roy | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 04 July 2016 |
| KOLASA Tomasz Krzysztof | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 27 June 2016 |
| ZHENG Hanxia 鄭寒夏 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 16 June 2016 |
| HILLS-INGYON James Stephen | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 10 June 2016 |
| MERCHANT Salman Akhtar | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 April 2016 |
| WOOLTERTON Keith Alan | RO | [1] (Dealing in Securities), [7] (Providing Automated Trading Services) | 15 April 2016 |
| ZHANG Harvey Yang | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 29 March 2016 |
| MC KEOWN Darryl Patrick | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 March 2016 |
| GIGOV Valery Slavtchev | RE | [7] (Providing Automated Trading Services) | 21 March 2016 |
| MAAREK Pierre, Lorn, Axel, Samuel | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 18 March 2016 |
| MODIANO Camille | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 14 March 2016 |
| GARG Vipul | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 23 February 2016 |
| SIU Chi Tat 蕭志達 | RE | [7] (Providing Automated Trading Services) | 22 February 2016 |
| JIANG Yiyue 蔣億月 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 22 February 2016 |
| LI Wanqi 李婉琪 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 22 February 2016 |
| HOLSHEIMER Ryan Hans | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) | 15 January 2016 |
| LEE Hannah Loxime 李樂心 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 05 January 2016 |
| MAHOLO Issey Jose | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 27 November 2015 |
| GIGOV Valery Slavtchev | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 27 November 2015 |
| PANJABI Ashwin Mohan | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 September 2015 |
| SERFATI Stephane David | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 18 August 2015 |
| WOOLTERTON Keith Alan | RE | [4] (Advising on Securities) | 03 August 2015 |
| JUNG Chaerim 鄭彩琳 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 13 July 2015 |
| FANG Siying 方思穎 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 09 July 2015 |
| CHAN Ka Yan 陳家寅 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 July 2015 |
| KO Ming Tung 高銘東 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 02 July 2015 |
| LO Wing Ki, Vickie 羅穎琦 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 26 May 2015 |
| JOHNSON Joseph Mark | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 15 May 2015 |
| PAL Shomrita | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 15 May 2015 |
| SERAFINO Mario John | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 May 2015 |
| CORNILLE Franck Jean-Michel Roger Henri | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 May 2015 |
| DAOU Mourad | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 23 April 2015 |
| AN Qi 安琪 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 30 March 2015 |
| WANG Tianyu 王天宇 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 09 March 2015 |
| HUNG Ching Man 孔靖汶 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 26 February 2015 |
| CARNEVALI Angelo | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 23 February 2015 |
| MAALIKOUM Abdelouahd 馬宥德 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 16 January 2015 |
| JAMES Benjamin Anthony | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 06 October 2014 |
| CAO Chunan | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 September 2014 |
| WURTZ Gregory Aaron | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 01 September 2014 |
| CHAPMAN Daniel John | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 July 2014 |
| SIU Chi Tat 蕭志達 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 02 May 2014 |
| WEN Lihua 溫麗華 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 30 April 2014 |
| BIGOS Brian T | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 April 2014 |
| CHING Yin Man Erica 程讌雯 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 14 April 2014 |
| LEE Tony Sai Kuen 李世權 | RO | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 03 April 2014 |
| CHOU Yen Hua 周讌華 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 02 April 2014 |
| YANG Yi 楊昳 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 18 March 2014 |
| CHOI Ji Yoon | RE | [2] (Dealing in Futures Contracts) | 28 February 2014 |
| SEO Hae Ryung 徐海鈴 | RE | [2] (Dealing in Futures Contracts) | 19 February 2014 |
| CHIANG Ming Zuei Charles 江明叡 | RO | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 February 2014 |
| STITT Samuel James | RE | [2] (Dealing in Futures Contracts) | 29 January 2014 |
| GHOSH Sankha | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 January 2014 |
| KOHLI Ayush | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 02 January 2014 |
| WANG Gu Wen 王谷文 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 21 October 2013 |
| CHOI Ji Yoon | RE | [5] (Advising on Futures Contracts) | 21 October 2013 |
| STITT Samuel James | RE | [5] (Advising on Futures Contracts) | 23 September 2013 |
| MILTON Andrew | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) | 02 July 2013 |
| BEL HADJ AMOR Alain Bruno | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 02 July 2013 |
| ZHANG He 張賀 | RE | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 03 June 2013 |
| LIU Haoshun 柳皓順 | RE | [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 07 May 2013 |
| CHEUNG Calvin Chi-chun 張子雋 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 17 January 2013 |
| SEO Hae Ryung 徐海鈴 | RE | [5] (Advising on Futures Contracts) | 20 August 2012 |
| IP Vincent Wai Chung 葉維中 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 01 June 2012 |
| CHU Pak Ning, Patrick 朱柏寧 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 13 April 2012 |
| LUI Kwan Kit 雷琨傑 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 01 February 2012 |
| BELL Edward Holden | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 October 2011 |
| CHEUNG Chi Cheuk, Cedric 張智卓 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 10 May 2010 |
| GARG Deepak | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 03 May 2010 |
| DUJARI Vipul | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 18 March 2010 |
| CHANDRAMOULI Arun | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 19 October 2009 |
| NAKAGIRI Ryota 中桐良太 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 24 June 2009 |
| NAKAGIRI Ryota 中桐良太 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 19 May 2009 |
| HE Jia 賀嘉 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 11 September 2008 |
| ASSOMULL Yovan Vijay | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 28 July 2008 |
| WONG Claudio 王久昌 | RE | [5] (Advising on Futures Contracts) | 24 June 2008 |
| WONG Claudio 王久昌 | RE | [2] (Dealing in Futures Contracts) | 05 June 2008 |
| PRACEY-SMITH Robert Dowden | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 10 October 2007 |
| TONG Lok Wai, Daniel 湯樂維 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 05 October 2007 |
| GORDON Steven Barry | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 08 June 2007 |
| WONG Nai Chun 黃乃鎮 | RE | [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) | 10 May 2007 |
| LI Yuen Shan 李婉珊 | RE | [4] (Advising on Securities) | 24 April 2007 |
| LAU On Ching, Desmond 劉安正 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) | 07 February 2007 |
| LI Yuen Shan 李婉珊 | RE | [1] (Dealing in Securities) | 14 June 2006 |