Current licenceholders of AAB893 CLSA Limited 中信里昂證券有限公司
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholder | Role | Licences | Start date |
|---|---|---|---|
| ZHAO Jiaqi 趙佳琦 | RE | 4 (Advising on Securities) | 2021-01-14 |
| MIAO Cheng Ying 繆政穎 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2021-01-11 |
| ZHOU Shufan 周澍凡 | RE | 1 (Dealing in Securities) | 2021-01-11 |
| LI Xiang 李想 | RE | 4 (Advising on Securities) | 2021-01-05 |
| LAI Siu Fung 黎少峯 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-01-04 |
| LI Zhongying 李仲嬴 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-12-28 |
| SHEN Hui 沈卉 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-21 |
| SHI Fengyuan 史丰源 | RE | 4 (Advising on Securities) | 2020-12-21 |
| BAO Hong 鮑泓 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-21 |
| FENG Chongguang 馮重光 | RE | 4 (Advising on Securities) | 2020-12-18 |
| ZU Guopeng 祖國鵬 | RE | 4 (Advising on Securities) | 2020-12-18 |
| ZHU Jianfang 諸建芳 | RE | 4 (Advising on Securities) | 2020-12-18 |
| CAI Linfeng 蔡林峰 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-16 |
| LIU Boying 劉博英 | RE | 4 (Advising on Securities) | 2020-12-11 |
| ZHANG Ting 張婷 | RE | 1 (Dealing in Securities) | 2020-12-09 |
| XUE Jiao 薛姣 | RE | 4 (Advising on Securities) | 2020-12-09 |
| TONG Chengdun 童成墩 | RE | 4 (Advising on Securities) | 2020-12-09 |
| CHEN Cong 陳聰 | RE | 4 (Advising on Securities) | 2020-12-09 |
| CHEN Junbin 陳俊斌 | RE | 4 (Advising on Securities) | 2020-12-09 |
| YUNG Muk Tsz 翁木子 | RE | 4 (Advising on Securities) | 2020-12-07 |
| CHIU Lon, Ronald 趙朗 | RE | 1 (Dealing in Securities) | 2020-12-03 |
| HU Weimin 胡为敏 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-03 |
| ZHANG Zongbao 张宗保 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-03 |
| BAI Guangxin 白广鑫 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-12-03 |
| LI Mengyang 李夢暘 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-01 |
| XIA Gaofeng 夏高鋒 | RE | 4 (Advising on Securities) | 2020-12-01 |
| CHAN Samuel Sek Wei 陳惜偉 | RE | 4 (Advising on Securities) | 2020-11-30 |
| WANG Zinian 汪子年 | RE | 4 (Advising on Securities) | 2020-11-26 |
| ZHAO Jiaqi 趙佳琦 | RE | 1 (Dealing in Securities) | 2020-11-25 |
| LI Chen 李晨 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-11-19 |
| DING Jianxiong 丁健雄 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-18 |
| CHEN Weiqi 陳瑋齊 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-18 |
| SUN Xue 孫雪 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-16 |
| WEI Ningning 韋宁宁 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-11 |
| HUA Lining 华力宁 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-11-09 |
| XI Mengmeng 奚萌萌 | RE | 4 (Advising on Securities) | 2020-11-09 |
| LIU Boying 劉博英 | RE | 1 (Dealing in Securities) | 2020-11-05 |
| XIA Gaofeng 夏高鋒 | RE | 1 (Dealing in Securities) | 2020-11-04 |
| CHEN Mingzhao 陳明昭 | RE | 4 (Advising on Securities) | 2020-11-04 |
| DU Ke 杜克 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-11-03 |
| LIN Yuchen 林毓琛 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-10-30 |
| YANG Chaozhong 楊朝中 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-29 |
| CHEN Li 陈力 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-10-28 |
| WANG Zinian 汪子年 | RE | 1 (Dealing in Securities) | 2020-10-27 |
| YANG Junlin 楊均霖 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-22 |
| JANG Jae Hee 張在喜 | RE | 1 (Dealing in Securities) | 2020-10-19 |
| ENG Karen Jane 伍倚華 | RO | 1 (Dealing in Securities) | 2020-10-16 |
| LI Tao 李陶 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-12 |
| WEI Ziting 魏子婷 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-12 |
| LU Yufeng 逯宇峰 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-10-08 |
| LI Zhongnan 李中楠 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-08 |
| WU Caojian 吴操健 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-08 |
| RONG Xiaolong 荣晓龍 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-09-30 |
| PARK Edward | RO | 4 (Advising on Securities) | 2020-09-24 |
| PU Ruihang 浦瑞航 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-09-23 |
| WONG Lok Huai, Francis 黃樂懷 | RE | 4 (Advising on Securities) | 2020-09-23 |
| DONG Hang 董行 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-09-23 |
| SHEN Zhe 沈哲 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-09-18 |
| SHI Guoping 石國平 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-09-18 |
| GONG Hongyu 龔洪與 | RE | 4 (Advising on Securities) | 2020-09-18 |
| YANG Zhenyi 楊臻怡 | RE | 4 (Advising on Securities) | 2020-09-14 |
| LI Chunbo 李春波 | RE | 7 (Providing Automated Trading Services), 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-09-11 |
| ZHAO Tianwei 赵天委 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-09-09 |
| SHIN Joo Kyung 申珠炅 | RE | 1 (Dealing in Securities) | 2020-09-08 |
| SHEN Yiding 沈一丁 | RE | 1 (Dealing in Securities) | 2020-09-04 |
| XU Chenming 许晨鸣 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-08-26 |
| XIONG Dong 熊冬 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-08-26 |
| FAN Haishuo 范海爍 | RO | 4 (Advising on Securities) | 2020-08-12 |
| LIU Xin 劉欣 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-08-11 |
| LI Zhongjie 李中杰 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-08-11 |
| YUAN Ye 袁也 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-08-03 |
| LIN Xiaodong 林晓東 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-07-28 |
| NOBLE Lance | RE | 4 (Advising on Securities) | 2020-07-27 |
| CHIN Lip Ting 陳立婷 | RE | 4 (Advising on Securities) | 2020-07-27 |
| LI Longfei 李龍飛 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-07-27 |
| LIU Yicheng 劉亦誠 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-07-23 |
| MA Bofei 马博飞 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-07-23 |
| WANG Tianfang 王天放 | RE | 4 (Advising on Securities) | 2020-06-23 |
| LIM Colin | RE | 1 (Dealing in Securities) | 2020-06-23 |
| TIWARI Sudhir Kumar | RE | 1 (Dealing in Securities), 7 (Providing Automated Trading Services) | 2020-06-16 |
| LAU Chung Yan, Joanne 劉頌恩 | RE | 4 (Advising on Securities) | 2020-06-05 |
| YOU Yang 尤揚 | RE | 4 (Advising on Securities) | 2020-05-26 |
| LUO Ding 羅鼎 | RE | 4 (Advising on Securities) | 2020-05-26 |
| ZHANG Ziyao 張子嶢 | RE | 1 (Dealing in Securities) | 2020-05-26 |
| WANG Tianfang 王天放 | RE | 1 (Dealing in Securities) | 2020-05-19 |
| LEE Shon Kee, Kenneth 李崇基 | RE | 1 (Dealing in Securities) | 2020-04-06 |
| LIN Tawei, Joseph 林達崴 | RE | 1 (Dealing in Securities) | 2020-03-30 |
| XU Zhiwei 徐志偉 | RE | 1 (Dealing in Securities) | 2020-03-26 |
| WANG Jingyuan 王景遠 | RE | 1 (Dealing in Securities) | 2020-03-25 |
| PARK Soo Bin | RE | 4 (Advising on Securities) | 2020-03-23 |
| RO Soong Chu | RE | 4 (Advising on Securities) | 2020-03-04 |
| CHIU Ngai Han 焦藝嫻 | RE | 4 (Advising on Securities) | 2020-02-28 |
| WON Sang Hoon 元相勳 | RE | 1 (Dealing in Securities) | 2020-02-20 |
| WAT Pui Lam 屈沛霖 | RE | 1 (Dealing in Securities) | 2020-02-12 |
| HOPKINS Maxwell Ayers | RE | 4 (Advising on Securities) | 2020-01-29 |
| WOO Fong Fong, Janet 胡渢渢 | RE | 1 (Dealing in Securities) | 2020-01-13 |
| HU Baifeng 胡柏風 | RO | 1 (Dealing in Securities) | 2020-01-08 |
| SHEN Yue 沈越 | RO | 1 (Dealing in Securities) | 2020-01-06 |
| KWOK Sin Hung 郭倩紅 | RE | 4 (Advising on Securities) | 2019-12-24 |
| CHENG Xinlong 成欣龙 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-12-11 |
| BARDEN Jonathan Robert | RE | 4 (Advising on Securities) | 2019-12-10 |
| YUEN Sze Wing, Esther 袁詩穎 | RE | 1 (Dealing in Securities) | 2019-11-29 |
| HUANG Tiandang 黃天蕩 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-11-15 |
| XU Fanfei 許凡非 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-11-01 |
| LEUNG Hiu Yi 梁曉怡 | RE | 4 (Advising on Securities) | 2019-10-31 |
| CHAN Samuel Sek Wei 陳惜偉 | RE | 1 (Dealing in Securities) | 2019-10-30 |
| YUNG Chi Yeung 容志揚 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-10-29 |
| TOTLA Vaibhav Vishnudas | RE | 1 (Dealing in Securities) | 2019-10-28 |
| KAUFMANN Kai | RE | 1 (Dealing in Securities) | 2019-10-18 |
| HOU Ming-Hsiao 侯明孝 | RE | 4 (Advising on Securities) | 2019-10-15 |
| TING Ka Shun 丁嘉淳 | RE | 4 (Advising on Securities) | 2019-10-14 |
| CHEUNG Danny Tsz Chung 張子聰 | RE | 1 (Dealing in Securities) | 2019-09-17 |
| YIP Damon Manchun | RE | 1 (Dealing in Securities) | 2019-09-06 |
| CHAN Cheuk Wing, Andy 陳焯榮 | RE | 1 (Dealing in Securities) | 2019-09-03 |
| LEUNG Hiu Yi 梁曉怡 | RE | 1 (Dealing in Securities) | 2019-09-02 |
| GALLIGAN Jonathan Philip | RO | 4 (Advising on Securities) | 2019-09-02 |
| JIA Wei 賈暐 | RE | 1 (Dealing in Securities) | 2019-08-28 |
| LEOTTA Sebastian John | RE | 1 (Dealing in Securities) | 2019-08-23 |
| COCHRAN Shaun Donald | RO | 4 (Advising on Securities) | 2019-08-21 |
| ZHANG Youjun 張佑君 | RO | 1 (Dealing in Securities) | 2019-08-20 |
| YU Yang 于楊 | RO | 4 (Advising on Securities) | 2019-08-19 |
| FU Yuen Yeh 傅元冶 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-08-19 |
| LIU Yewei 劉業偉 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-08-09 |
| FENG Shu 冯书 | RE | 1 (Dealing in Securities) | 2019-08-07 |
| REN Anthony W | RE | 4 (Advising on Securities) | 2019-07-31 |
| HAN Siyu 韓思雨 | RE | 4 (Advising on Securities) | 2019-07-23 |
| GAO Song 高松 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-07-22 |
| WONG Wing Sze 黃詠詩 | RO | 7 (Providing Automated Trading Services) | 2019-07-18 |
| WONG Chi Ming 黃智明 | RE | 4 (Advising on Securities) | 2019-07-11 |
| MCCULLOCH Cale O'Yeah | RE | 1 (Dealing in Securities) | 2019-07-08 |
| WANG Mengting 王梦婷 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-07-05 |
| CHIA Su Ying 謝舒莹 | RE | 1 (Dealing in Securities) | 2019-07-05 |
| XIANG Difei 相迪菲 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-07-03 |
| KIM Young Rin | RE | 4 (Advising on Securities) | 2019-07-03 |
| LIU Yikai 劉奕愷 | RE | 4 (Advising on Securities) | 2019-06-28 |
| WANG Ruizhi 王睿智 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-06-18 |
| YUAN Ransi 袁然思 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-06-05 |
| KHONGRUNGPHAKORN Supattra | RE | 1 (Dealing in Securities) | 2019-05-29 |
| KE Zicong 柯子聰 | RE | 4 (Advising on Securities) | 2019-05-28 |
| CHAN Ying Kwan 陳盈君 | RE | 4 (Advising on Securities) | 2019-05-20 |
| LIM Kit Yng | RE | 1 (Dealing in Securities) | 2019-05-16 |
| LA FABER Sean Michael | RE | 1 (Dealing in Securities) | 2019-05-16 |
| AMER HAMZAH Farahnaz Ireena Binti | RE | 1 (Dealing in Securities) | 2019-05-16 |
| LI Mao 李懋 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-05-08 |
| PARK Edward | RO | 7 (Providing Automated Trading Services) | 2019-04-24 |
| XIAO Kaidi 肖愷弟 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-04-23 |
| WONK-URAI Weerapat | RE | 4 (Advising on Securities) | 2019-04-17 |
| TJIA Novita | RE | 1 (Dealing in Securities) | 2019-04-10 |
| ASVATHITANONTA Kamolwan | RE | 1 (Dealing in Securities) | 2019-03-29 |
| WIBOWO Matthew | RE | 1 (Dealing in Securities) | 2019-03-27 |
| SWARBRICK Andrew Jeremy | RE | 1 (Dealing in Securities) | 2019-03-18 |
| MADDOCK Warwick Curtis Lee | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-03-15 |
| MARDJUKI Jonathan Steven | RE | 4 (Advising on Securities) | 2019-03-13 |
| LONGO Anthony | RE | 4 (Advising on Securities) | 2019-03-11 |
| TRISNO Merlissa Paramitha | RE | 4 (Advising on Securities) | 2019-03-07 |
| TAN Lucas Adnan Soen Hwat | RE | 1 (Dealing in Securities) | 2019-02-25 |
| CHOONG Loke Hung | RE | 4 (Advising on Securities) | 2019-02-13 |
| WINOTO Yusuf Ade | RE | 4 (Advising on Securities) | 2019-02-13 |
| DINCER Ty | RE | 1 (Dealing in Securities) | 2019-02-08 |
| XIA Yicong 夏弈聰 | RE | 4 (Advising on Securities) | 2019-01-14 |
| WANG Yushen 王雨申 | RE | 4 (Advising on Securities) | 2019-01-14 |
| BARWICK Richard John | RE | 4 (Advising on Securities) | 2018-12-24 |
| THEODORUS Billy | RE | 1 (Dealing in Securities) | 2018-12-10 |
| FOO Wen Yun | RE | 1 (Dealing in Securities) | 2018-12-10 |
| TOKUMURA Kazue | RE | 4 (Advising on Securities) | 2018-11-30 |
| OLDFIELD Alexander Toby | RE | 1 (Dealing in Securities) | 2018-11-27 |
| NOGRALES Marseille Navarro | RE | 1 (Dealing in Securities) | 2018-11-19 |
| HWANG Kyung Hyun | RE | 1 (Dealing in Securities) | 2018-11-12 |
| YUNG Chun Woon, Louis 翁進煥 | RO | 1 (Dealing in Securities) | 2018-10-23 |
| LAM Steve Kwok Leung 林國樑 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-10-04 |
| WANG Xuan 王瑄 | RE | 1 (Dealing in Securities) | 2018-09-12 |
| LIM Sue Lin | RE | 4 (Advising on Securities) | 2018-09-06 |
| KIM Warren Ho-Joong | RE | 1 (Dealing in Securities) | 2018-09-05 |
| WANG Xiance 王宪策 | RE | 4 (Advising on Securities) | 2018-09-03 |
| KONG Nien Sian | RE | 4 (Advising on Securities) | 2018-08-24 |
| LI Heung 李响 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-08-15 |
| CHAN Yick Kei 陳奕祺 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-07-25 |
| LIU Hiu Lau 廖曉柳 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-07-23 |
| CHEN Yali 陳雅俐 | RE | 4 (Advising on Securities) | 2018-07-05 |
| ZHUANG Yiyang 庄亦洋 | RE | 4 (Advising on Securities) | 2018-07-05 |
| HUI Ka Lok, Carl 許嘉諾 | RE | 4 (Advising on Securities) | 2018-07-03 |
| ZHUANG Yiyang 庄亦洋 | RE | 1 (Dealing in Securities) | 2018-06-27 |
| HUI Bosco Tien Ruey 許天瑞 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-06-27 |
| LAM Pak Fung 林柏鋒 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-06-27 |
| WEN Zhongjie 文仲杰 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-06-25 |
| CHEUNG Kai Ming 張啟銘 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-06-21 |
| TSE Yan Kei 謝欣冀 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-06-21 |
| WANG Gan 王干 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-06-21 |
| LIN David Ping 林平 | RE | 1 (Dealing in Securities) | 2018-06-15 |
| LEE Ching Man 李正文 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-06-04 |
| JIANG Yi 蔣藝 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-06-04 |
| HUANG Zihang 黃子航 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-05-28 |
| ZHAO Long 趙龍 | RE | 4 (Advising on Securities) | 2018-05-23 |
| YAO Xinjian 姚欣健 | RE | 4 (Advising on Securities) | 2018-05-21 |
| YAO Xinjian 姚欣健 | RE | 1 (Dealing in Securities) | 2018-05-11 |
| HE Hao 何浩 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-05-02 |
| TU Lingfei 涂凌飛 | RE | 4 (Advising on Securities) | 2018-04-25 |
| ZHOU Tianhao 周天灝 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-04-20 |
| ZHOU Minlu 周敏鷺 | RE | 4 (Advising on Securities) | 2018-04-19 |
| WANG Wei 王為 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-04-17 |
| ZHAO Long 趙龍 | RE | 1 (Dealing in Securities) | 2018-04-17 |
| TU Lingfei 涂凌飛 | RE | 1 (Dealing in Securities) | 2018-03-26 |
| ZENG Zhuo 曾卓 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-03-05 |
| FISCHER Richard Eric Marshall | RE | 1 (Dealing in Securities) | 2018-03-01 |
| NURYANTI Yuyun Aisyah | RE | 1 (Dealing in Securities) | 2018-03-01 |
| LI Hang 李航 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-02-23 |
| TSOI Geoffrey Wai Yip 蔡偉業 | RE | 1 (Dealing in Securities) | 2018-02-14 |
| WANG Xinyi 王心怡 | RE | 4 (Advising on Securities) | 2018-02-09 |
| BURNS John Patrick | RE | 1 (Dealing in Securities) | 2018-02-06 |
| MCMURTRAY Nathan Noel | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-02-02 |
| MA Sirui 馬思睿 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-01-22 |
| CHAN Chun Hei 陳俊曦 | RE | 4 (Advising on Securities) | 2018-01-15 |
| PARK Edward | RO | 1 (Dealing in Securities) | 2018-01-12 |
| YU Yang 于楊 | RO | 1 (Dealing in Securities) | 2018-01-10 |
| TOMISAWA Shotaro | RE | 1 (Dealing in Securities) | 2018-01-02 |
| SHAH Chirag Chandrakant | RE | 4 (Advising on Securities) | 2017-12-07 |
| LO Chi Yin, Patrick 盧至言 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-12-07 |
| NG Chung Kwong 吳松光 | RE | 1 (Dealing in Securities) | 2017-12-07 |
| KAMAI Takeo | RE | 1 (Dealing in Securities) | 2017-12-07 |
| CHONG Yeu Liong | RE | 1 (Dealing in Securities) | 2017-11-20 |
| WONG Wing Sze 黃詠詩 | RO | 1 (Dealing in Securities) | 2017-11-20 |
| KIYOZUKA Megumi | RE | 1 (Dealing in Securities) | 2017-11-13 |
| CHAN Chi Chuen 陳志銓 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-11-06 |
| PARK Carol Lee | RE | 1 (Dealing in Securities) | 2017-10-31 |
| KUWAKI Shota | RE | 1 (Dealing in Securities) | 2017-10-31 |
| MIN Peter Jae Sun | RE | 1 (Dealing in Securities) | 2017-10-31 |
| TOH Kah Yong, Jeremy 卓家揚 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-10-20 |
| PARK Gregory | RE | 1 (Dealing in Securities) | 2017-10-11 |
| LI On Ki 李安琪 | RE | 1 (Dealing in Securities) | 2017-10-11 |
| YE Peilin 叶佩琳 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-10-04 |
| ZHAO Geoffrey Li 趙力 | RO | 1 (Dealing in Securities) | 2017-09-27 |
| ZHONG Wei 鍾威 | RE | 1 (Dealing in Securities) | 2017-09-25 |
| RAMOS Joyce Anne Jose | RE | 4 (Advising on Securities) | 2017-09-20 |
| CHEN Weiwei 陳衛煒 | RE | 1 (Dealing in Securities) | 2017-09-20 |
| HO Kam Kai 何錦佳 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-09-12 |
| DALAL Alok Mukul | RE | 4 (Advising on Securities) | 2017-09-12 |
| IP Man Ka 葉文嘉 | RE | 4 (Advising on Securities) | 2017-09-08 |
| DY Andre Mikael Lu | RE | 1 (Dealing in Securities) | 2017-09-07 |
| SIBAL Maria Elisa Andrea Pamandanan | RE | 1 (Dealing in Securities) | 2017-09-07 |
| ESPINO Marc Christopher Jison | RE | 4 (Advising on Securities) | 2017-08-31 |
| FAJARDO Bennette Edward John | RE | 4 (Advising on Securities) | 2017-08-15 |
| TAM Ho Yin, Jude 譚顥賢 | RE | 1 (Dealing in Securities) | 2017-08-04 |
| NODA Hideo | RE | 4 (Advising on Securities) | 2017-06-22 |
| LI Ran 李然 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-06-02 |
| KANEVSKY Eugene | RO | 1 (Dealing in Securities) | 2017-05-16 |
| AGOSTINI John Edward Cobcroft | RE | 1 (Dealing in Securities) | 2017-05-12 |
| ZHU Feifei 朱霏霏 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-04-21 |
| LEUNG Yvonne Tsang Yin 梁政欣 | RE | 1 (Dealing in Securities) | 2017-03-21 |
| LIU Jisheng 劉基晟 | RE | 4 (Advising on Securities) | 2017-02-24 |
| FONTANILLA Jose-Paolo Cuyegkeng | RE | 4 (Advising on Securities) | 2017-02-13 |
| SUN Ziyi 孫子易 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2016-12-23 |
| LAU Tin Pui 劉天珮 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2016-11-15 |
| HALLAM Nicholas | RE | 1 (Dealing in Securities) | 2016-11-03 |
| NG Kai Him 吳啟謙 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2016-10-28 |
| KATO Jun | RE | 4 (Advising on Securities) | 2016-09-21 |
| PAREKH Bharat Nalinkant | RE | 4 (Advising on Securities) | 2016-09-01 |
| WANG Xiao 王瀟 | RO | 1 (Dealing in Securities) | 2016-08-05 |
| PANG Lei Kan 彭麗勤 | RE | 1 (Dealing in Securities) | 2016-07-20 |
| LOW Horng Han | RE | 4 (Advising on Securities) | 2016-07-08 |
| HUANG Cunchen 黃存晨 | RE | 4 (Advising on Securities) | 2016-06-20 |
| PONG David Juyoung | RE | 1 (Dealing in Securities) | 2016-05-24 |
| REDBOURN James Robert | RE | 1 (Dealing in Securities) | 2016-03-16 |
| CHIU Sze Lai 趙施麗 | RE | 1 (Dealing in Securities) | 2015-12-21 |
| SO King Pui 蘇敬培 | RE | 4 (Advising on Securities) | 2015-12-14 |
| SHARMA Rohit | RE | 1 (Dealing in Securities) | 2015-12-08 |
| NA Mufu 那木夫 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2015-10-19 |
| LIN Zhongheng 林仲衡 | RE | 4 (Advising on Securities) | 2015-08-31 |
| WU Sitao 吳思燾 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2015-08-03 |
| ZHANG Yuanning 張遠寧 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2015-07-30 |
| KIANG Jeffrey Ming Jie 江明傑 | RE | 4 (Advising on Securities) | 2015-07-23 |
| LEE Wai Kit Patrick 李煒傑 | RE | 1 (Dealing in Securities) | 2015-07-16 |
| LIU Tong 劉彤 | RE | 4 (Advising on Securities) | 2015-07-08 |
| HE Haotian 何昊天 | RE | 1 (Dealing in Securities) | 2015-06-01 |
| ZHANG Jie 章婕 | RE | 1 (Dealing in Securities) | 2015-06-01 |
| TANG Zhongzhi 唐中植 | RE | 1 (Dealing in Securities) | 2015-05-19 |
| CHAN Wai Hung, Edmund 陳偉雄 | RO | 1 (Dealing in Securities) | 2015-04-30 |
| ZHOU Zuyu 周祖禹 | RE | 1 (Dealing in Securities) | 2015-04-24 |
| BAZZONI Federico | RE | 1 (Dealing in Securities) | 2015-04-23 |
| CHEUNG Ho Ming 張可明 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2015-01-21 |
| LEOW Siok Ling 廖淑玲 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2015-01-16 |
| LEACH Francis Hugh Magnus | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2015-01-06 |
| SIN Ka Yiu 冼嘉耀 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2015-01-06 |
| LEE Bing Cai Ryan 李秉財 | RE | 1 (Dealing in Securities) | 2014-09-08 |
| LEVINE Robert Peter | RO | 1 (Dealing in Securities) | 2014-09-01 |
| KANEVSKY Eugene | RO | 7 (Providing Automated Trading Services) | 2014-08-13 |
| CHEUK Siu Bun, Alexander 卓兆斌 | RO | 1 (Dealing in Securities) | 2014-07-30 |
| LAU Ka Yeung 劉嘉陽 | RE | 4 (Advising on Securities) | 2014-05-08 |
| TAN Jessica Margarida 陳曉彤 | RE | 1 (Dealing in Securities) | 2014-04-28 |
| TANG Weiguo 唐維國 | RE | 1 (Dealing in Securities) | 2014-02-10 |
| TECHAPOSAI Suchart | RE | 4 (Advising on Securities) | 2014-01-24 |
| LEE Kam Chiu 李錦超 | RE | 4 (Advising on Securities) | 2013-10-02 |
| CODRON Edward Alexander | RE | 1 (Dealing in Securities) | 2013-09-23 |
| SHIN Dong-Wook | RE | 1 (Dealing in Securities) | 2013-09-18 |
| SHIN YOON SIK | RE | 4 (Advising on Securities) | 2013-09-16 |
| GOLDIE Benjamin James | RE | 1 (Dealing in Securities) | 2013-09-09 |
| DEFIBAUGH Jay Loren | RE | 4 (Advising on Securities) | 2013-09-02 |
| AGARWAL Anurag | RE | 4 (Advising on Securities) | 2013-08-19 |
| LAI Norman 黎樂仁 | RE | 1 (Dealing in Securities) | 2013-05-24 |
| CHUNG Yong Ho | RE | 4 (Advising on Securities) | 2012-12-31 |
| PANPIEMRAS Soraphob | RE | 4 (Advising on Securities) | 2012-12-31 |
| PHUTELA Shantnu | RE | 4 (Advising on Securities) | 2012-12-31 |
| WONG Yew Kiang | RE | 4 (Advising on Securities) | 2012-12-31 |
| LESMINA Sarina | RE | 4 (Advising on Securities) | 2012-12-31 |
| MUSTON Nigel Peter | RE | 4 (Advising on Securities) | 2012-12-24 |
| MATTHEW Oliver James Gray | RE | 4 (Advising on Securities) | 2012-12-24 |
| PAULSEN Morten | RE | 4 (Advising on Securities) | 2012-12-17 |
| LEUNG Heung Yik 梁向奕 | RE | 4 (Advising on Securities) | 2012-12-10 |
| YUSUI (BOURLET) Edward Kai | RE | 4 (Advising on Securities) | 2012-12-03 |
| RICHTER Christopher John | RE | 4 (Advising on Securities) | 2012-12-03 |
| CHATURVEDI Deepti | RE | 4 (Advising on Securities) | 2012-12-03 |
| GARG Amit | RE | 4 (Advising on Securities) | 2012-11-01 |
| DY Alfred Olmedo | RE | 4 (Advising on Securities) | 2012-11-01 |
| TAN Gee Meng | RE | 1 (Dealing in Securities) | 2012-09-11 |
| SMITH Nicholas David Paul | RE | 4 (Advising on Securities) | 2012-09-06 |
| JAIN Vikash Kumar | RE | 4 (Advising on Securities) | 2012-07-16 |
| WONG King Wai, Gilbert 黃景威 | RE | 1 (Dealing in Securities) | 2011-09-15 |
| LIM Hsu An | RE | 1 (Dealing in Securities) | 2011-09-09 |
| CITAKU Shpendi Norman | RE | 1 (Dealing in Securities) | 2011-08-31 |
| WONG Peter Pui To 黃沛濤 | RE | 1 (Dealing in Securities) | 2011-08-10 |
| TSANG Tsz Mei 曾紫微 | RE | 1 (Dealing in Securities) | 2011-07-04 |
| PARK Sang Eun | RE | 1 (Dealing in Securities) | 2011-02-14 |
| SHEK Po Wan, Winnie 石寶雲 | RE | 1 (Dealing in Securities) | 2011-01-03 |
| LEE Yuna | RE | 1 (Dealing in Securities) | 2010-09-09 |
| MEHTA Viraf Dinshaw | RE | 1 (Dealing in Securities) | 2010-09-03 |
| LAO Ruby Margaret Tan | RE | 1 (Dealing in Securities) | 2010-05-03 |
| KIM Jongmin | RE | 1 (Dealing in Securities) | 2010-04-08 |
| FROST Michael | RE | 1 (Dealing in Securities) | 2010-03-23 |
| TAVEERATANASILP Nuntana | RE | 1 (Dealing in Securities) | 2010-03-08 |
| OEN Daniel Thian Liong | RE | 1 (Dealing in Securities) | 2009-09-17 |
| SOMANI Anirudh | RE | 1 (Dealing in Securities) | 2009-09-17 |
| BISWAS Swagatam | RE | 1 (Dealing in Securities) | 2009-09-17 |
| KAMATH Sujay Anthony Derrick | RE | 1 (Dealing in Securities) | 2009-09-17 |
| CHONG Yu, Carmen 莊瑜 | RE | 1 (Dealing in Securities) | 2009-05-13 |
| BALANCO Laurence | RE | 4 (Advising on Securities) | 2009-02-16 |
| JAIN Sonal | RE | 1 (Dealing in Securities) | 2008-09-22 |
| GALLIGAN Jonathan Philip | RE | 1 (Dealing in Securities) | 2008-02-14 |
| YIP Cheng Kwok 葉振國 | RE | 1 (Dealing in Securities) | 2007-11-28 |
| JAEGER Christian John | RE | 1 (Dealing in Securities) | 2007-07-03 |
| DE DIOS Maria Martha Araullo | RE | 1 (Dealing in Securities) | 2007-06-25 |
| WANG Yinan 王軼楠 | RE | 1 (Dealing in Securities) | 2007-04-10 |
| GAN Tanya Li Phing | RE | 1 (Dealing in Securities) | 2007-02-21 |
| WIJAYA Annie | RE | 1 (Dealing in Securities) | 2006-05-29 |
| DEL PAPA Massimiliano | RE | 1 (Dealing in Securities) | 2006-02-20 |
| ZIEGLER Richard Paul | RE | 1 (Dealing in Securities) | 2005-11-29 |
| FISHWICK Eric James | RE | 4 (Advising on Securities) | 2003-04-01 |
| ONG So Po, Polly 王素寶 | RE | 1 (Dealing in Securities) | 2003-04-01 |