SFC Licenceholders of Northern Trust Company of Hong Kong Limited, The
- hong_kong_compliance@ntrs.com
- Website
- www.northerntrust.com
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| ADAMS JR Bradford Simonds | RE | 1 | 26 April 2010 | 24 February 2012 |
| AIKAWA Masahiro 相川雅宏 | RE | 9 | 01 April 2014 | 25 February 2021 |
| ALLISON Andrew James | RE | 9 | 22 August 2018 | 19 September 2020 |
| ANNAKIN Craig Stewart | RO | 2 | 02 November 2011 | 13 February 2015 |
| ANNAKIN Craig Stewart | RO | 1 | 02 November 2011 | 13 February 2015 |
| ARNOTT Robert Lauriston John | RO | 1 | 10 March 2017 | 23 June 2021 |
| ARNOTT Robert Lauriston John | RO | 4 | 10 March 2017 | 23 June 2021 |
| AU Kin Wah, Lawrence 區建華 | RO | 1 | 01 April 2003 | 25 March 2010 |
| BAGRIY Volodymyr | RE | 9 | 20 February 2023 | |
| BASSOUS Shlomo | RE | 9 | 24 October 2011 | 31 December 2015 |
| BATEMAN James Nicholas | RE | 1 | 10 March 2008 | 25 March 2009 |
| BENTSEN Richard Boldt | RO | 1 | 01 April 2003 | 20 June 2003 |
| BENZMILLER Thomas Robert | RE | 1 | 06 October 2008 | 23 May 2014 |
| BENZMILLER Thomas Robert | RO | 1 | 27 April 2005 | 06 October 2008 |
| BISHOP Carter Wilson | RE | 1 | 27 October 2014 | 20 January 2017 |
| BLACKWELL Bradley Joseph | RE | 1 | 27 February 2013 | 27 March 2015 |
| BOWERS Wayne George | RO | 9 | 12 September 2012 | 09 January 2018 |
| BOWERS Wayne George | RO | 1 | 12 September 2012 | 09 January 2018 |
| BOWERS Wayne George | RO | 2 | 12 September 2012 | 09 January 2018 |
| BROWNE Robert Patrick | RE | 1 | 02 July 2009 | 31 May 2021 |
| CAMPLING Neil Allan | RE | 4 | 29 May 2017 | 05 September 2017 |
| CAMPLING Neil Allan | RE | 1 | 29 May 2017 | 05 September 2017 |
| CHAI Pui Pui, Pamela 蔡蓓蓓 | RE | 1 | 01 April 2003 | 18 April 2007 |
| CHAN Hiu Fung, Margaret 陳曉楓 | RE | 1 | 31 October 2007 | 27 May 2011 |
| CHARK Chi Wing, Alexis 翟志榮 | RE | 1 | 01 April 2003 | 25 October 2006 |
| CHAU Ching Ha 周靜霞 | RE | 9 | 19 November 2020 | |
| CHEN Po Hsiu | RE | 1 | 13 August 2020 | 24 June 2022 |
| CHENG Xing 程星 | RE | 1 | 29 January 2009 | 30 November 2017 |
| CHEUNG Hei 張曦 | RE | 1 | 11 May 2010 | 21 September 2010 |
| CHEUNG Kai Ho 張繼浩 | RE | 1 | 19 May 2020 | 21 January 2022 |
| CHEUNG Kai Ho 張繼浩 | RE | 4 | 19 May 2020 | 21 January 2022 |
| CHEUNG Kwan Ho 張鈞浩 | RE | 4 | 18 July 2022 | |
| CHEUNG Kwan Ho 張鈞浩 | RE | 1 | 18 July 2022 | |
| CHEUNG Meng Chu 張孟珠 | RE | 1 | 01 April 2003 | 23 November 2004 |
| CHIANG Fuk Yip, Philip 蔣福業 | RE | 1 | 03 October 2008 | 29 July 2011 |
| CHIM Lok Yi 詹樂怡 | RE | 1 | 09 August 2019 | |
| CHOO Kaitlyn Shiyuet 朱世悅 | RE | 1 | 04 October 2013 | 10 October 2015 |
| CHOW Chi Man 鄒志文 | RE | 1 | 03 March 2008 | 06 May 2011 |
| CHOW Man 周敏 | RE | 1 | 08 February 2012 | 03 July 2015 |
| CHOW Yuk Hei, Christopher 周昱希 | RE | 1 | 11 June 2018 | 01 November 2018 |
| CHUAH Keng Hin 蔡景興 | RO | 2 | 03 December 2015 | 07 April 2017 |
| CHUAH Keng Hin 蔡景興 | RO | 1 | 03 December 2015 | 07 April 2017 |
| CHUAH Keng Hin 蔡景興 | RE | 9 | 28 October 2011 | 15 February 2012 |
| CHUAH Keng Hin 蔡景興 | RO | 9 | 15 February 2012 | 07 April 2017 |
| CLAYTON Andrew Robert | RE | 1 | 29 June 2006 | 31 October 2020 |
| COKER Mark Edward | RE | 1 | 15 September 2014 | 12 December 2014 |
| COYLE Jeffery | RO | 1 | 25 May 2020 | |
| COYLE Jeffery | RE | 1 | 18 February 2019 | 25 May 2020 |
| DASWANI Sunil Prem | RO | 1 | 11 April 2017 | 29 November 2017 |
| DASWANI Sunil Prem | RE | 1 | 06 October 2008 | 11 April 2017 |
| DASWANI Sunil Prem | RO | 1 | 19 March 2005 | 06 October 2008 |
| DENG Dian 鄧典 | RE | 1 | 18 July 2018 | 10 May 2019 |
| DOWDS Stephen | RE | 1 | 13 June 2006 | 27 March 2009 |
| DUVALL Margret Eva | RE | 1 | 09 March 2011 | 30 January 2019 |
| DWYER Patrick Edward | RO | 9 | 05 September 2011 | 31 March 2012 |
| DWYER Patrick Edward | RE | 1 | 28 February 2011 | 31 March 2012 |
| DYMOND Nicholas James | RE | 9 | 27 March 2017 | 30 January 2019 |
| DYMOND Nicholas James | RE | 1 | 10 September 2010 | 30 January 2019 |
| EARNSHAW Charles Anthony | RE | 1 | 03 October 2005 | 18 September 2007 |
| EASTWOOD Helen Rebecca | RE | 1 | 18 May 2017 | 23 June 2021 |
| EASTWOOD Helen Rebecca | RE | 4 | 18 May 2017 | 23 June 2021 |
| ENG Bun Sieng | RE | 1 | 10 October 2011 | |
| FAHLIN Anders Jimmy | RE | 9 | 26 March 2012 | 25 June 2014 |
| FAN Mei Kei, Maggie 樊美姬 | RE | 1 | 26 November 2015 | 23 December 2016 |
| FANNIN Dane Gower | RO | 4 | 11 July 2017 | 13 December 2021 |
| FANNIN Dane Gower | RO | 1 | 26 September 2012 | |
| FANNIN Dane Gower | RE | 1 | 03 March 2008 | 26 September 2012 |
| FARQUHAR Yumi | RO | 1 | 01 April 2003 | 31 October 2011 |
| FONSEKA Janaki Marina | RE | 1 | 07 July 2005 | 30 April 2008 |
| FOOTER Cameron Duncan | RO | 4 | 10 March 2017 | 03 February 2021 |
| FOOTER Cameron Duncan | RO | 1 | 10 March 2017 | 03 February 2021 |
| FOX Seamus | RE | 1 | 05 September 2022 | 27 March 2023 |
| FOX Seamus | RE | 1 | 17 May 2023 | 01 August 2023 |
| GAYER Madhu Kanth | RO | 1 | 04 December 2009 | 21 September 2012 |
| GEGGUS Andrew Charles | RO | 1 | 11 April 2019 | 03 January 2020 |
| GEGGUS Andrew Charles | RE | 1 | 05 July 2017 | 11 April 2019 |
| HAR Chun Kit, Johnson 夏俊傑 | RE | 1 | 22 June 2017 | 01 November 2018 |
| HAR Wilson Wai Shun 夏偉舜 | RE | 2 | 22 December 2017 | |
| HAR Wilson Wai Shun 夏偉舜 | RE | 1 | 22 December 2017 | |
| HARDY Kevin Shane Lee | RO | 9 | 05 September 2011 | 28 September 2012 |
| HARDY Kevin Shane Lee | RO | 2 | 02 November 2011 | 28 September 2012 |
| HARDY Kevin Shane Lee | RO | 1 | 29 January 2009 | 28 September 2012 |
| HARDY Kevin Shane Lee | RE | 1 | 27 October 2008 | 29 January 2009 |
| HAYMAN Grace Susan | RE | 1 | 25 March 2019 | 31 October 2020 |
| HIGGINS Caroline Mary | RO | 9 | 26 July 2021 | 25 September 2023 |
| HIGGINS Caroline Mary | RO | 1 | 26 July 2021 | 25 September 2023 |
| HIGGINS Caroline Mary | RO | 2 | 26 July 2021 | 25 September 2023 |
| HIGGINS Caroline Mary | RO | 4 | 26 July 2021 | 25 September 2023 |
| HO Siu Yung, Ada 何少容 | RE | 1 | 31 August 2005 | 06 November 2009 |
| HO Yee Ki 何漪淇 | RE | 1 | 18 August 2010 | 06 February 2015 |
| HODGSON Lesley Elaine | RE | 1 | 13 February 2009 | 30 April 2009 |
| HODGSON Lesley Elaine | RE | 1 | 22 February 2006 | 15 February 2007 |
| HODGSON Lesley Elaine | RO | 1 | 15 February 2007 | 13 February 2009 |
| HUTCHINSON James Allen | RE | 1 | 02 August 2019 | 31 May 2022 |
| HUTCHINSON Simon Andrew | RE | 1 | 15 September 2009 | 31 October 2014 |
| HWANG Min Wen | RE | 1 | 19 May 2020 | |
| IRWIN John Laurence | RO | 1 | 09 July 2018 | 08 September 2022 |
| JENKINS Benjamin Taylor | RE | 1 | 15 March 2019 | 05 November 2019 |
| KAWAI Mikiko | RE | 1 | 16 May 2011 | 09 April 2012 |
| KEANE Aisling Helen | RO | 1 | 26 February 2024 | |
| KEANE Aisling Helen | RE | 1 | 29 January 2024 | 26 February 2024 |
| KEANE Aisling Helen | RE | 4 | 29 January 2024 | 26 February 2024 |
| KEANE Aisling Helen | RO | 4 | 26 February 2024 | |
| KIM Taeyoung 金泰永 | RE | 1 | 10 February 2022 | |
| KIM Taeyoung 金泰永 | RE | 4 | 10 February 2022 | |
| KRATZ Bo Rolf Anders | RE | 1 | 29 November 2012 | 28 February 2013 |
| KRATZ Bo Rolf Anders | RO | 1 | 28 February 2013 | 05 December 2015 |
| KRATZ Bo Rolf Anders | RO | 9 | 05 December 2013 | 05 December 2015 |
| KRATZ Bo Rolf Anders | RO | 2 | 05 December 2013 | 05 December 2015 |
| KWAN Mei Mei 關美美 | RE | 1 | 08 June 2011 | 05 August 2011 |
| KWAN Mei Mei 關美美 | RE | 1 | 31 October 2007 | 25 March 2010 |
| KWOK Suet Ying Lily Vanessa 郭雪英 | RE | 1 | 12 November 2018 | 01 October 2019 |
| LAM Chi Ping 林治平 | RO | 9 | 25 October 2022 | |
| LAM Chi Ping 林治平 | RE | 2 | 25 October 2022 | |
| LAM Chi Ping 林治平 | RO | 4 | 22 August 2017 | |
| LAM Chi Ping 林治平 | RE | 1 | 09 July 2014 | 07 July 2016 |
| LAM Chi Ping 林治平 | RO | 1 | 07 July 2016 | |
| LAM Ka Wai 林嘉蕙 | RE | 1 | 07 April 2008 | 19 November 2010 |
| LAU Cheuk Hang, Samuel 劉卓鏗 | RE | 1 | 30 July 2003 | 11 December 2006 |
| LAW Margaret Man Nei 羅敏妮 | RO | 1 | 22 July 2014 | 25 June 2018 |
| LAW Margaret Man Nei 羅敏妮 | RE | 1 | 07 March 2011 | 22 July 2014 |
| LEE Eric Joon Ho | RE | 4 | 01 April 2019 | |
| LEE Eric Joon Ho | RE | 1 | 23 December 2016 | |
| LEE Halim | RE | 1 | 25 February 2021 | 30 December 2021 |
| LEE Halim | RE | 4 | 25 February 2021 | 30 December 2021 |
| LEE Katherine Kar Pui 李嘉珮 | RE | 1 | 19 July 2005 | 29 May 2019 |
| LEE Yen Ting 李言亭 | RE | 1 | 07 November 2022 | |
| LEE Yin Ting, Ambrose 李彥霆 | RE | 1 | 17 June 2009 | 31 October 2013 |
| LEUNG Kwok Ming 梁國明 | RO | 1 | 27 February 2007 | 18 July 2008 |
| LEUNG Kwok Ming 梁國明 | RE | 1 | 02 June 2003 | 27 February 2007 |
| LEUNG Shuk Kwan 梁淑群 | RE | 1 | 25 January 2006 | 07 September 2007 |
| LEUNG Tsui Ying 梁翠瑩 | RE | 1 | 04 October 2006 | 18 March 2016 |
| LEW Hui Huang, Dianna 劉蕙璜 | RE | 1 | 04 October 2006 | 20 April 2007 |
| LI Xiaojing Valerie 李筱菁 | RE | 1 | 06 May 2019 | |
| LI Xinyi 李心怡 | RE | 4 | 01 April 2019 | 13 October 2021 |
| LI Xinyi 李心怡 | RE | 1 | 14 March 2018 | 13 October 2021 |
| LO Bun, Robin 盧斌 | RE | 1 | 03 February 2006 | 31 August 2007 |
| LO Ka Bik, Elmen 盧家碧 | RE | 1 | 08 November 2012 | |
| LUI Sau Sheung, Susan 雷秀嫦 | RE | 1 | 31 October 2007 | 28 June 2008 |
| MACMILLAN Alexander Grant | RE | 1 | 08 January 2020 | 27 September 2022 |
| MAEDA Tomoko | RE | 1 | 23 April 2012 | 05 September 2014 |
| MAK Jacqueline Wai Man 麥慧敏 | RE | 1 | 14 January 2008 | 09 September 2011 |
| MAK Kam Hoong 麥錦雄 | RE | 1 | 19 October 2012 | 23 May 2014 |
| MAN Kit Ping Bibianna 文潔萍 | RE | 1 | 19 July 2005 | 15 August 2007 |
| MATTURRI JR Alexander James | RE | 1 | 12 October 2005 | 21 November 2006 |
| MC CAREINS JR John Martin | RO | 4 | 15 August 2017 | |
| MC CAREINS JR John Martin | RE | 1 | 01 April 2016 | 04 October 2016 |
| MC CAREINS JR John Martin | RO | 1 | 04 October 2016 | |
| MC CAREINS JR John Martin | RO | 2 | 04 October 2016 | |
| MC CAREINS JR John Martin | RO | 9 | 04 October 2016 | |
| MC CARTHY Barry | RE | 1 | 03 October 2011 | 15 July 2014 |
| MC DONALD James Duncan | RE | 1 | 15 September 2009 | 05 December 2022 |
| MILLER Justin Daniel | RE | 1 | 09 May 2007 | 08 March 2019 |
| MORGAN Robert Paul | RE | 1 | 26 July 2007 | 30 January 2019 |
| MORTON Douglas James Macleod | RE | 4 | 18 May 2017 | 14 November 2018 |
| MORTON Douglas James Macleod | RE | 1 | 18 May 2017 | 14 November 2018 |
| MOTODA Chieko | RE | 1 | 30 April 2012 | 05 April 2013 |
| NG Chi Ngai, Edgar 吳志毅 | RE | 1 | 01 June 2023 | |
| NIZAMI Zubair 李扎米 | RE | 1 | 27 February 2006 | 09 March 2011 |
| OVAERT Brian Patrick | RO | 1 | 08 January 2014 | 13 March 2015 |
| OVAERT Brian Patrick | RO | 2 | 08 January 2014 | 13 March 2015 |
| OVAERT Brian Patrick | RO | 9 | 08 January 2014 | 13 March 2015 |
| PARK Jong IL Howard 朴鍾壹 | RE | 1 | 03 May 2016 | 02 March 2023 |
| PARK Jong IL Howard 朴鍾壹 | RE | 1 | 11 September 2015 | 29 March 2016 |
| PASIEKA Gregory Robert | RO | 1 | 11 July 2017 | 27 October 2022 |
| PASIEKA Gregory Robert | RO | 2 | 11 July 2017 | 27 October 2022 |
| PASIEKA Gregory Robert | RO | 9 | 11 July 2017 | 27 October 2022 |
| PASIEKA Gregory Robert | RE | 9 | 04 October 2012 | 11 July 2017 |
| PAULIN Gary David | RE | 1 | 25 March 2019 | 23 June 2021 |
| PEREIRA REBELO Bertelino | RO | 1 | 07 January 2013 | 31 December 2015 |
| PEREIRA REBELO Bertelino | RE | 1 | 26 November 2008 | 07 January 2013 |
| PEREIRA REBELO Bertelino | RE | 1 | 10 October 2005 | 18 November 2007 |
| PHILLIPS Daniel Jason | RE | 4 | 12 December 2018 | 25 February 2019 |
| PHILLIPS Daniel Jason | RE | 1 | 12 December 2018 | 25 February 2019 |
| PIEMPREECHA Sophie Ann | RE | 9 | 21 May 2021 | |
| PINCON Benoit | RE | 1 | 13 August 2020 | |
| PINCON Benoit | RE | 4 | 13 August 2020 | |
| POTTINGER Simon George Alston | RE | 1 | 16 May 2011 | 01 June 2011 |
| RUNQUIST Lori Rae | RE | 1 | 17 October 2006 | 11 August 2010 |
| SARR Mamadou-Abou | RE | 1 | 12 July 2019 | 13 March 2020 |
| SHEN Blake C 沈欽揚 | RE | 1 | 13 December 2011 | 26 February 2018 |
| SIN Jordan Chun Kit 冼俊傑 | RE | 1 | 22 January 2015 | 04 August 2017 |
| SINGH Rohan Rajiv | RE | 1 | 02 March 2009 | 07 November 2011 |
| SIU Warren 蕭偉倫 | RE | 1 | 04 March 2008 | 11 July 2008 |
| SNOWDON Andrew Mark | RE | 1 | 09 February 2017 | 21 May 2021 |
| STEMME Kenneth Wayne | RE | 1 | 19 December 2005 | 19 April 2007 |
| TAN Teng Hui Nicholas 陳定輝 | RE | 1 | 02 November 2015 | 18 October 2016 |
| TAN Thuan Shiah Michael | RO | 2 | 18 July 2023 | |
| TAN Thuan Shiah Michael | RO | 1 | 02 December 2015 | |
| TAN Thuan Shiah Michael | RE | 9 | 02 December 2015 | |
| TAN Thuan Shiah Michael | RE | 2 | 06 August 2015 | 18 July 2023 |
| TAN Thuan Shiah Michael | RE | 1 | 06 August 2015 | 02 December 2015 |
| TEE Tsun Chiek 鄭俊傑 | RO | 1 | 19 March 2004 | 01 December 2004 |
| TENUTA Joseph Anthony | RE | 1 | 18 August 2014 | 26 September 2014 |
| TENUTA Joseph Anthony | RE | 1 | 19 September 2011 | 30 September 2011 |
| TENUTA Joseph Anthony | RE | 1 | 01 June 2011 | 01 July 2011 |
| TIMPANY David Allan | RO | 1 | 01 April 2003 | 31 January 2005 |
| TING Fifi 丁美翡 | RE | 1 | 10 December 2009 | 10 June 2011 |
| TOUSSAINT Jason Robert | RE | 1 | 10 October 2007 | 27 March 2009 |
| TRAPP George Bentley | RO | 1 | 14 August 2008 | 31 July 2009 |
| TSUI Sing Yam 徐星任 | RE | 9 | 28 September 2023 | |
| TSUI Sing Yam 徐星任 | RE | 4 | 28 September 2023 | |
| TSUI Sing Yam 徐星任 | RE | 1 | 28 September 2023 | |
| TSUI Wai Ying Jintz 徐惠盈 | RE | 1 | 01 April 2003 | 07 September 2007 |
| TUNG Tsit Shan 董哲珊 | RE | 1 | 19 December 2022 | 31 October 2023 |
| TUNG Tsit Shan 董哲珊 | RE | 4 | 03 April 2019 | 31 October 2023 |
| TUNG Tsit Shan 董哲珊 | RE | 1 | 28 November 2011 | 11 September 2012 |
| TUNG Tsit Shan 董哲珊 | RO | 1 | 11 September 2012 | 19 December 2022 |
| VIGSNES JR Richard Allan | RO | 2 | 02 November 2011 | 01 June 2021 |
| VIGSNES JR Richard Allan | RO | 1 | 08 March 2013 | 01 June 2021 |
| WATSON Stephen David | RE | 1 | 13 June 2006 | 27 March 2009 |
| WEAVER Jacob Carl | RE | 1 | 17 September 2009 | 30 May 2014 |
| WONG Ho Lap 黃浩立 | RE | 4 | 05 January 2022 | |
| WONG Ho Lap 黃浩立 | RE | 1 | 05 January 2022 | |
| WONG Man Chun, Manfred 黃文俊 | RO | 1 | 04 January 2023 | |
| WONG Man Chun, Manfred 黃文俊 | RO | 2 | 04 January 2023 | |
| WONG Man Chun, Manfred 黃文俊 | RO | 9 | 04 January 2023 | |
| WONG Man Chun, Manfred 黃文俊 | RE | 1 | 07 December 2017 | 04 January 2023 |
| WONG Man Chun, Manfred 黃文俊 | RE | 2 | 07 December 2017 | 04 January 2023 |
| WONG Man Chun, Manfred 黃文俊 | RE | 9 | 07 December 2015 | 04 January 2023 |
| WONG Man Chun, Manfred 黃文俊 | RO | 1 | 20 September 2016 | 07 December 2017 |
| WONG Man Chun, Manfred 黃文俊 | RO | 2 | 20 September 2016 | 07 December 2017 |
| WONG Man Chun, Manfred 黃文俊 | RE | 2 | 22 February 2012 | 20 September 2016 |
| WONG Man Chun, Manfred 黃文俊 | RE | 1 | 22 February 2012 | 20 September 2016 |
| WU Michael Chu Mo | RO | 4 | 10 March 2017 | 30 June 2021 |
| WU Michael Chu Mo | RO | 1 | 08 June 2015 | 30 June 2021 |
| WU Michael Chu Mo | RO | 2 | 08 June 2015 | 30 June 2021 |
| WU Michael Chu Mo | RO | 9 | 08 June 2015 | 30 June 2021 |
| XIANG Wang 項往 | RE | 1 | 30 September 2022 | 06 December 2023 |
| XIANG Wang 項往 | RE | 4 | 30 September 2022 | 06 December 2023 |
| YAMADA Akiko 山田晃子 | RE | 1 | 05 April 2013 | 31 October 2013 |
| YAU Chung Kin, Ken 邱頌健 | RE | 1 | 12 April 2006 | 28 December 2006 |
| YEUNG Yuen Kei, Doris 楊婉琪 | RE | 1 | 15 March 2005 | 14 July 2005 |
| YOO Yong Jae | RE | 1 | 08 October 2018 | 21 November 2020 |
| YOO Yong Jae | RE | 4 | 08 October 2018 | 21 November 2020 |
| YOUNG Kelly-Ann Louise | RE | 1 | 30 June 2006 | 25 April 2007 |
| YUEN Ho Lam Fedora 袁皓琳 | RE | 4 | 27 May 2022 | |
| YUEN Ho Lam Fedora 袁皓琳 | RE | 1 | 27 May 2022 | |
| YUEN Pui Lan 袁佩蘭 | RE | 1 | 28 July 2010 | 29 April 2011 |