SFC Licenceholders of SPARX Asia Investment Advisors Limited
- lc.sparxasia@sparxgroup.com.hk
- Website
- https://www.sparxasia.com/
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| AKIYAMA Fumihito | RO | 9 | 26 August 2019 | 01 April 2023 |
| AKIYAMA Fumihito | RO | 4 | 26 August 2019 | 01 April 2023 |
| ALLEN Thomas Lloyd | RE | 9 | 21 February 2006 | 31 May 2009 |
| ALLEN Thomas Lloyd | RE | 4 | 15 September 2004 | 31 May 2009 |
| BAHRA Kanwaljit Singh | RO | 9 | 25 September 2007 | 31 December 2011 |
| BAHRA Kanwaljit Singh | RO | 4 | 25 September 2007 | 31 December 2011 |
| BRENNAN Martin | RO | 9 | 30 March 2007 | 12 July 2011 |
| BRENNAN Martin | RO | 4 | 20 April 2004 | 12 July 2011 |
| CHAN Siu Wing 陳紹榮 | RE | 9 | 29 August 2014 | 06 January 2017 |
| CHAN Siu Wing 陳紹榮 | RE | 4 | 29 August 2014 | 06 January 2017 |
| CHAU Kwok Fai 周國輝 | RE | 9 | 11 September 2006 | 18 August 2014 |
| CHAU Kwok Fai 周國輝 | RE | 4 | 11 September 2006 | 18 August 2014 |
| CHOW Chun Yu 周振宇 | RE | 9 | 23 August 2016 | |
| CHOW Chun Yu 周振宇 | RE | 4 | 23 August 2016 | |
| DOUD Thomas Andrew | RE | 9 | 21 February 2006 | 28 October 2011 |
| DOUD Thomas Andrew | RE | 4 | 22 March 2005 | 28 October 2011 |
| EASTERBROOK Trevor Stephen | RE | 9 | 21 February 2006 | 31 March 2009 |
| EASTERBROOK Trevor Stephen | RE | 4 | 22 June 2005 | 31 March 2009 |
| FAN Weiwei 范維維 | RE | 9 | 25 June 2007 | 06 July 2012 |
| FAN Weiwei 范維維 | RE | 4 | 25 June 2007 | 06 July 2012 |
| FLINT Darryl Mark | RO | 9 | 03 April 2007 | 28 October 2011 |
| FLINT Darryl Mark | RO | 4 | 03 April 2007 | 28 October 2011 |
| FLINT Darryl Mark | RE | 9 | 05 January 2006 | 03 April 2007 |
| FLINT Darryl Mark | RE | 4 | 30 April 2004 | 03 April 2007 |
| FONG Poh Chung 方寶畯 | RO | 9 | 24 November 2014 | |
| FONG Poh Chung 方寶畯 | RO | 4 | 24 November 2014 | |
| FONG Poh Chung 方寶畯 | RE | 9 | 05 September 2007 | 24 November 2014 |
| FONG Poh Chung 方寶畯 | RE | 4 | 05 September 2007 | 24 November 2014 |
| FONG William Chi Wai 方志偉 | RE | 9 | 21 February 2006 | 30 April 2007 |
| FONG William Chi Wai 方志偉 | RE | 4 | 23 June 2004 | 30 April 2007 |
| FRASIER Hamilton Reid | RE | 9 | 15 July 2013 | 28 November 2014 |
| FRASIER Hamilton Reid | RE | 4 | 15 July 2013 | 28 November 2014 |
| FUKUMOTO Yusuke | RO | 4 | 25 August 2023 | |
| FUKUMOTO Yusuke | RO | 9 | 25 August 2023 | |
| FUNG Yu Wai, David 馮裕偉 | RO | 9 | 11 January 2012 | 02 May 2014 |
| FUNG Yu Wai, David 馮裕偉 | RO | 4 | 11 January 2012 | 02 May 2014 |
| FUNG Yu Wai, David 馮裕偉 | RE | 4 | 11 September 2006 | 11 January 2012 |
| FUNG Yu Wai, David 馮裕偉 | RE | 9 | 11 September 2006 | 11 January 2012 |
| HUI Yau Hing 許有慶 | RE | 9 | 14 July 2008 | 15 August 2011 |
| HUI Yau Hing 許有慶 | RE | 4 | 14 July 2008 | 15 August 2011 |
| HUNG Chin Pang Peter 洪展鵬 | RE | 9 | 23 October 2020 | |
| HUNG Chin Pang Peter 洪展鵬 | RE | 4 | 23 October 2020 | |
| HUNG Yiu Keung, Horace 熊耀強 | RE | 4 | 14 June 2006 | 21 July 2011 |
| HUNG Yiu Keung, Horace 熊耀強 | RE | 9 | 14 June 2006 | 21 July 2011 |
| JUE Stephen Tukqun 居德鈞 | RE | 9 | 18 October 2010 | 31 January 2014 |
| JUE Stephen Tukqun 居德鈞 | RE | 4 | 18 October 2010 | 31 January 2014 |
| KIM Byung Hak | RO | 9 | 22 February 2012 | 01 January 2024 |
| KIM Byung Hak | RO | 4 | 22 February 2012 | 01 January 2024 |
| KIM Byung Hak | RE | 9 | 24 May 2011 | 22 February 2012 |
| KIM Byung Hak | RE | 4 | 24 May 2011 | 22 February 2012 |
| KIM Min Soo | RO | 9 | 05 June 2009 | 19 March 2015 |
| KIM Min Soo | RO | 4 | 05 June 2009 | 19 March 2015 |
| KIM Min Soo | RE | 4 | 01 February 2006 | 05 June 2009 |
| KIM Min Soo | RE | 9 | 01 February 2006 | 05 June 2009 |
| KING Geoffrey Chang Wei 金昌尉 | RE | 4 | 01 May 2007 | 18 July 2010 |
| KING Geoffrey Chang Wei 金昌尉 | RE | 4 | 13 December 2006 | 22 January 2007 |
| KING Geoffrey Chang Wei 金昌尉 | RE | 9 | 13 December 2006 | 22 January 2007 |
| KING Geoffrey Chang Wei 金昌尉 | RE | 9 | 01 May 2007 | 18 July 2010 |
| KING Geoffrey Chang Wei 金昌尉 | RO | 4 | 22 January 2007 | 01 May 2007 |
| KING Geoffrey Chang Wei 金昌尉 | RO | 9 | 22 January 2007 | 01 May 2007 |
| KUBO Matthew Yukio | RO | 9 | 29 February 2012 | 27 June 2014 |
| KUBO Matthew Yukio | RO | 4 | 29 February 2012 | 27 June 2014 |
| KWOK Raymond | RO | 9 | 18 June 2014 | 31 December 2014 |
| KWOK Raymond | RO | 4 | 18 June 2014 | 31 December 2014 |
| KWOK Yik Ki 郭奕琪 | RE | 9 | 20 January 2009 | 18 June 2012 |
| KWOK Yik Ki 郭奕琪 | RE | 4 | 13 August 2007 | 18 June 2012 |
| LAI Yik Man 賴亦敏 | RE | 9 | 19 October 2017 | 31 January 2020 |
| LAI Yik Man 賴亦敏 | RE | 4 | 19 October 2017 | 31 January 2020 |
| LEE Byoung Nam 李秉南 | RE | 9 | 24 June 2011 | 30 November 2012 |
| LEE Byoung Nam 李秉南 | RE | 4 | 24 June 2011 | 30 November 2012 |
| LEE Chun Ho 李俊顥 | RE | 9 | 27 February 2017 | 01 April 2023 |
| LEE Chun Ho 李俊顥 | RE | 4 | 27 February 2017 | 01 April 2023 |
| LEE Jong Hak | RE | 9 | 08 April 2013 | 27 May 2022 |
| LEE Jong Hak | RE | 4 | 08 April 2013 | 27 May 2022 |
| LIU Shun Hong 廖舜康 | RE | 9 | 17 July 2006 | 07 January 2008 |
| LIU Shun Hong 廖舜康 | RO | 4 | 07 January 2008 | 29 July 2011 |
| LIU Shun Hong 廖舜康 | RE | 4 | 17 July 2006 | 07 January 2008 |
| LIU Shun Hong 廖舜康 | RO | 9 | 07 January 2008 | 29 July 2011 |
| LOU Jia 婁佳 | RE | 9 | 01 December 2011 | 13 September 2013 |
| LOU Jia 婁佳 | RE | 4 | 01 December 2011 | 13 September 2013 |
| MACLEOD Torquil Magnus | RE | 9 | 03 November 2006 | 28 October 2011 |
| MACLEOD Torquil Magnus | RE | 4 | 03 November 2006 | 28 October 2011 |
| MALIK Farhat Abbas | RO | 9 | 05 January 2006 | 30 June 2010 |
| MALIK Farhat Abbas | RO | 4 | 20 April 2004 | 30 June 2010 |
| MCDADE Richard William | RE | 4 | 29 March 2011 | 28 October 2011 |
| MCDADE Richard William | RE | 9 | 29 March 2011 | 28 October 2011 |
| MEPANI Pravin | RE | 9 | 18 July 2006 | 09 February 2012 |
| MEPANI Pravin | RE | 4 | 09 May 2005 | 09 February 2012 |
| MICHALSKI Tytus | RO | 9 | 16 June 2009 | 30 November 2010 |
| MICHALSKI Tytus | RO | 4 | 16 June 2009 | 30 November 2010 |
| MICHALSKI Tytus | RE | 9 | 05 January 2006 | 16 June 2009 |
| MICHALSKI Tytus | RE | 4 | 11 May 2004 | 16 June 2009 |
| NAUGHTON Thomas Edmund Wyville | RE | 9 | 31 August 2009 | 19 October 2009 |
| NAUGHTON Thomas Edmund Wyville | RE | 4 | 31 August 2009 | 19 October 2009 |
| NAUGHTON Thomas Edmund Wyville | RO | 4 | 19 March 2007 | 31 August 2009 |
| NAUGHTON Thomas Edmund Wyville | RO | 9 | 19 March 2007 | 31 August 2009 |
| NAUGHTON Thomas Edmund Wyville | RE | 9 | 05 January 2006 | 19 March 2007 |
| NAUGHTON Thomas Edmund Wyville | RE | 4 | 22 April 2004 | 19 March 2007 |
| NG Tat Hong Alan 伍達康 | RO | 9 | 27 April 2012 | |
| NG Tat Hong Alan 伍達康 | RO | 4 | 27 April 2012 | |
| OH Wookjin 吳旭鎮 | RE | 9 | 27 February 2015 | 29 August 2016 |
| OH Wookjin 吳旭鎮 | RE | 4 | 27 February 2015 | 29 August 2016 |
| PARSONS Paul Rodney | RE | 9 | 09 November 2006 | 31 March 2009 |
| PARSONS Paul Rodney | RE | 4 | 09 November 2006 | 31 March 2009 |
| PETRAS Jason William | RE | 4 | 28 February 2007 | 04 March 2008 |
| PETRAS Jason William | RE | 9 | 28 February 2007 | 04 March 2008 |
| PIDGEON Thomas Graham | RE | 9 | 09 November 2006 | 31 March 2009 |
| PIDGEON Thomas Graham | RE | 4 | 09 November 2006 | 31 March 2009 |
| SAHA Kunal | RE | 9 | 07 June 2007 | 28 October 2011 |
| SAHA Kunal | RE | 4 | 07 June 2007 | 28 October 2011 |
| SHIU Kin Ming, Paul 邵建銘 | RE | 4 | 27 April 2007 | 25 February 2011 |
| SHIU Kin Ming, Paul 邵建銘 | RE | 9 | 27 April 2007 | 25 February 2011 |
| SHU Yow Jen 許祐禎 | RE | 9 | 28 January 2014 | 28 May 2014 |
| SHU Yow Jen 許祐禎 | RE | 4 | 28 January 2014 | 28 May 2014 |
| STODDART Philip Alexander | RE | 4 | 26 January 2023 | |
| STODDART Philip Alexander | RE | 9 | 26 January 2023 | |
| SUZUKI Takeshi 鈴木剛 | RO | 9 | 19 September 2014 | |
| SUZUKI Takeshi 鈴木剛 | RO | 4 | 19 September 2014 | |
| TABAR Samir Victor | RE | 9 | 07 August 2007 | 28 February 2008 |
| TABAR Samir Victor | RE | 4 | 07 August 2007 | 28 February 2008 |
| TAGUCHI Hiroshi | RO | 9 | 31 July 2017 | 31 August 2019 |
| TAGUCHI Hiroshi | RO | 4 | 31 July 2017 | 31 August 2019 |
| TAKEDA Masakazu 武田政和 | RE | 9 | 21 December 2011 | |
| TAKEDA Masakazu 武田政和 | RE | 4 | 21 December 2011 | |
| TANG Yu Ming, Nelson 湯毓銘 | RE | 9 | 05 January 2006 | 31 January 2007 |
| TANG Yu Ming, Nelson 湯毓銘 | RE | 4 | 29 March 2005 | 31 January 2007 |
| TANIGUCHI Masaki 谷口正樹 | RO | 9 | 21 July 2011 | 31 March 2012 |
| TANIGUCHI Masaki 谷口正樹 | RO | 4 | 21 July 2011 | 31 March 2012 |
| TYE Philip Andrew | RO | 9 | 05 January 2006 | 05 February 2007 |
| TYE Philip Andrew | RO | 4 | 20 April 2004 | 05 February 2007 |
| VASWANI Arun Purushotam | RE | 4 | 29 August 2005 | 28 October 2011 |
| VILLAIT Anoopkumar Sadh | RO | 9 | 23 March 2011 | 12 July 2011 |
| VILLAIT Anoopkumar Sadh | RO | 4 | 23 March 2011 | 12 July 2011 |
| VILLAIT Anoopkumar Sadh | RE | 4 | 22 July 2009 | 23 March 2011 |
| VILLAIT Anoopkumar Sadh | RE | 9 | 22 July 2009 | 23 March 2011 |
| WANG Xinchen 王鑫晨 | RE | 9 | 03 December 2013 | 29 August 2016 |
| WANG Xinchen 王鑫晨 | RE | 4 | 03 December 2013 | 29 August 2016 |
| WONG Tin Wai, Raymond 黃田卉 | RE | 4 | 25 July 2006 | 23 July 2010 |
| YANG Shih Hau, Richard 楊世浩 | RE | 9 | 01 May 2007 | 06 January 2010 |
| YANG Shih Hau, Richard 楊世浩 | RE | 4 | 13 December 2006 | 22 January 2007 |
| YANG Shih Hau, Richard 楊世浩 | RE | 9 | 13 December 2006 | 22 January 2007 |
| YANG Shih Hau, Richard 楊世浩 | RO | 4 | 22 January 2007 | 01 May 2007 |
| YANG Shih Hau, Richard 楊世浩 | RE | 4 | 01 May 2007 | 06 January 2010 |
| YANG Shih Hau, Richard 楊世浩 | RO | 9 | 22 January 2007 | 01 May 2007 |
| YIP Ka Hay 葉家曦 | RO | 4 | 19 March 2007 | 21 September 2007 |
| YIP Ka Hay 葉家曦 | RO | 9 | 19 March 2007 | 21 September 2007 |
| YIP Ka Hay 葉家曦 | RE | 9 | 05 January 2006 | 19 March 2007 |
| YIP Ka Hay 葉家曦 | RE | 4 | 18 November 2004 | 19 March 2007 |