SFC Licenceholders of Oaktree Capital (Hong Kong) Limited
- HK-Compliance@oaktreecapital.com
- Website
- N/A
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| AU Shuk Yan 區淑炘 | RE | 1 | 11 June 2020 | |
| AU Shuk Yan 區淑炘 | RE | 4 | 11 June 2020 | |
| BAKER Skardon Francis | RE | 1 | 21 May 2007 | 20 July 2010 |
| BAKER Skardon Francis | RE | 9 | 02 August 2006 | 01 February 2007 |
| BAKER Skardon Francis | RE | 4 | 02 August 2006 | 01 February 2007 |
| BAKER Skardon Francis | RE | 1 | 22 January 2007 | 01 February 2007 |
| BAKER Skardon Francis | RE | 9 | 21 May 2007 | 20 July 2010 |
| BAKER Skardon Francis | RE | 4 | 21 May 2007 | 20 July 2010 |
| BEATH Byron Ashley | RE | 4 | 01 February 2016 | 02 August 2019 |
| BEATH Byron Ashley | RE | 9 | 17 October 2016 | 02 August 2019 |
| BEATH Byron Ashley | RE | 1 | 17 October 2016 | 02 August 2019 |
| BELTZ Scott Thomas | RE | 1 | 17 July 2014 | 08 September 2014 |
| BELTZ Scott Thomas | RO | 1 | 19 January 2007 | 17 July 2014 |
| BLEHAUT Gabriel Rong Yun 高榮雲 | RE | 4 | 03 October 2018 | |
| BLEHAUT Gabriel Rong Yun 高榮雲 | RE | 1 | 03 October 2018 | |
| BYUN Heesuk | RE | 1 | 15 March 2021 | 11 November 2022 |
| BYUN Heesuk | RE | 4 | 15 March 2021 | 11 November 2022 |
| CARROLL III Francis Joseph | RO | 9 | 03 October 2023 | |
| CARROLL III Francis Joseph | RO | 1 | 03 October 2023 | |
| CARROLL III Francis Joseph | RO | 4 | 03 October 2023 | |
| CARROLL III Francis Joseph | RE | 1 | 05 October 2020 | 03 October 2023 |
| CARROLL III Francis Joseph | RE | 4 | 05 October 2020 | 03 October 2023 |
| CARROLL III Francis Joseph | RE | 9 | 05 October 2020 | 03 October 2023 |
| CHAN Raymond Pha Giong 陳柏香 | RO | 1 | 28 May 2019 | 08 November 2022 |
| CHAN Raymond Pha Giong 陳柏香 | RO | 4 | 28 May 2019 | 08 November 2022 |
| CHAN Raymond Pha Giong 陳柏香 | RO | 9 | 28 May 2019 | 08 November 2022 |
| CHAN Raymond Pha Giong 陳柏香 | RE | 9 | 06 September 2017 | 28 May 2019 |
| CHAN Raymond Pha Giong 陳柏香 | RE | 4 | 01 November 2016 | 28 May 2019 |
| CHAN Raymond Pha Giong 陳柏香 | RE | 1 | 01 November 2016 | 28 May 2019 |
| CHAN Yuen Yu 陳沅妤 | RE | 4 | 12 June 2023 | |
| CHAN Yuen Yu 陳沅妤 | RE | 1 | 12 June 2023 | |
| CHANG I-To Edward 張一多 | RE | 9 | 24 May 2010 | |
| CHANG I-To Edward 張一多 | RE | 4 | 24 May 2010 | |
| CHAO Hanting 巢瀚婷 | RO | 1 | 05 June 2019 | |
| CHAO Hanting 巢瀚婷 | RE | 1 | 05 July 2011 | 05 June 2019 |
| CHEN Tian 陳天 | RE | 4 | 20 June 2022 | 18 December 2023 |
| CHEN Tian 陳天 | RE | 1 | 20 June 2022 | 18 December 2023 |
| CHENG Cheng 成成 | RE | 4 | 19 July 2021 | |
| CHENG Cheng 成成 | RE | 1 | 19 July 2021 | |
| CHEW Yen Li 周燕麗 | RE | 1 | 26 May 2009 | 15 November 2013 |
| CHOI Steven Seungwook | RE | 9 | 24 June 2019 | 16 December 2021 |
| CHOI Steven Seungwook | RE | 4 | 24 June 2019 | 16 December 2021 |
| CHOI Steven Seungwook | RE | 1 | 24 June 2019 | 16 December 2021 |
| COUGHLIN Benjamin John | RE | 9 | 06 September 2016 | 02 August 2019 |
| COUGHLIN Benjamin John | RE | 4 | 06 September 2016 | 02 August 2019 |
| COUGHLIN Benjamin John | RE | 1 | 06 September 2016 | 02 August 2019 |
| DE JONG Jelmar Cornelis Johannes | RO | 9 | 12 June 2012 | 24 August 2015 |
| DE JONG Jelmar Cornelis Johannes | RO | 4 | 12 June 2012 | 24 August 2015 |
| DE JONG Jelmar Cornelis Johannes | RO | 1 | 12 June 2012 | 24 August 2015 |
| DE JONG Jelmar Cornelis Johannes | RE | 9 | 26 June 2008 | 12 June 2012 |
| DE JONG Jelmar Cornelis Johannes | RE | 1 | 26 June 2008 | 12 June 2012 |
| DE JONG Jelmar Cornelis Johannes | RE | 4 | 26 June 2008 | 12 June 2012 |
| DOHERTY Manning Lea | RE | 1 | 16 November 2007 | 28 October 2011 |
| DOHERTY Manning Lea | RE | 9 | 30 August 2006 | 28 October 2011 |
| DOHERTY Manning Lea | RE | 4 | 07 August 2006 | 28 October 2011 |
| DUAN Xinyu 段欣宇 | RE | 4 | 06 July 2015 | 14 July 2017 |
| DUAN Xinyu 段欣宇 | RE | 1 | 06 July 2015 | 14 July 2017 |
| FORD Benjamin James | RO | 9 | 27 May 2014 | 27 April 2016 |
| FORD Benjamin James | RO | 4 | 27 May 2014 | 27 April 2016 |
| FORD Benjamin James | RO | 1 | 27 May 2014 | 27 April 2016 |
| FREEMAN Tracy Taray | RO | 1 | 04 November 2015 | 06 January 2020 |
| FREEMAN Tracy Taray | RE | 1 | 17 March 2014 | 19 September 2014 |
| FUNG King Bun, Gary 馮竟鑌 | RE | 9 | 08 December 2010 | 30 June 2011 |
| FUNG King Bun, Gary 馮竟鑌 | RE | 4 | 08 December 2010 | 30 June 2011 |
| GANY Yuki | RE | 1 | 18 September 2013 | 21 December 2018 |
| GAO Meng 高猛 | RE | 9 | 08 December 2010 | 31 March 2011 |
| GAO Meng 高猛 | RE | 4 | 08 December 2010 | 31 March 2011 |
| HAN Feng 韓峰 | RE | 9 | 14 June 2023 | |
| HAN Feng 韓峰 | RE | 4 | 14 June 2023 | |
| HAN Feng 韓峰 | RE | 1 | 14 June 2023 | |
| HENDERSON Loyd Tarver | RE | 1 | 20 March 2009 | 31 July 2009 |
| HENDERSON Loyd Tarver | RE | 4 | 20 March 2009 | 31 July 2009 |
| HENDERSON Loyd Tarver | RE | 9 | 20 March 2009 | 31 July 2009 |
| HO Samantha Beverly 何詩慧 | RE | 1 | 25 March 2009 | |
| HUANG Lin 黃琳 | RE | 1 | 16 February 2021 | 15 May 2021 |
| HUANG Lin 黃琳 | RE | 1 | 17 May 2021 | 16 August 2021 |
| JIANG Yue 姜玥 | RE | 1 | 22 February 2023 | |
| JIANG Yue 姜玥 | RE | 4 | 22 February 2023 | |
| JIE Wenting 接文婷 | RE | 1 | 17 August 2018 | 23 December 2021 |
| JIE Wenting 接文婷 | RE | 4 | 17 August 2018 | 23 December 2021 |
| KAPLAN Stephen A | RO | 9 | 12 July 2006 | 21 October 2016 |
| KAPLAN Stephen A | RO | 4 | 12 July 2006 | 21 October 2016 |
| KERINS William Francis | RE | 9 | 28 September 2012 | 17 June 2016 |
| KERINS William Francis | RE | 4 | 28 September 2012 | 17 June 2016 |
| KERINS William Francis | RE | 1 | 28 September 2012 | 17 June 2016 |
| KERINS William Francis | RO | 1 | 19 January 2007 | 28 September 2012 |
| KERINS William Francis | RO | 9 | 12 July 2006 | 28 September 2012 |
| KERINS William Francis | RO | 4 | 12 July 2006 | 28 September 2012 |
| KIM Jin Soo 金辰洙 | RE | 1 | 08 October 2019 | |
| KIM Lee Seul | RE | 1 | 02 June 2017 | 30 October 2020 |
| KOOK Soonwoong | RE | 1 | 06 August 2018 | |
| LAM Teresa Tak Nam 林德藍 | RE | 1 | 22 October 2007 | 30 January 2011 |
| LAW Lok 羅樂 | RE | 1 | 02 July 2020 | 05 July 2023 |
| LAW Lok 羅樂 | RE | 4 | 02 July 2020 | 05 July 2023 |
| LI Tiehejin 李鐵合金 | RE | 1 | 17 March 2023 | 13 November 2023 |
| LI Xinwei 李馨瑋 | RE | 1 | 25 October 2023 | |
| LI Zhengyi 李正逸 | RO | 9 | 19 September 2016 | |
| LI Zhengyi 李正逸 | RO | 4 | 18 April 2016 | |
| LI Zhengyi 李正逸 | RO | 1 | 18 April 2016 | |
| LI Zhengyi 李正逸 | RE | 4 | 01 August 2014 | 18 April 2016 |
| LIM James Tai Keun | RE | 9 | 24 June 2020 | 20 January 2022 |
| LIM James Tai Keun | RE | 4 | 24 June 2020 | 20 January 2022 |
| LIM James Tai Keun | RE | 1 | 24 June 2020 | 20 January 2022 |
| MA Yiyi 馬憶儀 | RE | 1 | 05 May 2015 | 23 June 2017 |
| MATHES Michel | RE | 4 | 12 September 2019 | 31 July 2022 |
| MATHES Michel | RE | 1 | 12 September 2019 | 31 July 2022 |
| MENG Yuanyuan 孟圓圓 | RE | 1 | 26 March 2018 | |
| OO Xiaohui, Alvina 余曉慧 | RE | 1 | 03 June 2011 | 05 June 2014 |
| PANG Tsz Wai 彭梓維 | RE | 1 | 08 November 2023 | |
| PARK Ken Sangwoo | RE | 1 | 26 August 2013 | 08 June 2018 |
| PARKS Robert Ralph | RE | 9 | 04 October 2010 | 02 May 2011 |
| PARKS Robert Ralph | RE | 4 | 04 October 2010 | 02 May 2011 |
| PARKS Robert Ralph | RE | 1 | 04 October 2010 | 02 May 2011 |
| PENG Yuyu 彭煜宇 | RE | 4 | 31 January 2012 | 10 October 2014 |
| PENG Yuyu 彭煜宇 | RE | 1 | 31 January 2012 | 10 October 2014 |
| SAITO Rahul | RE | 1 | 09 June 2009 | 09 March 2012 |
| SHANG Qian 尚前 | RE | 4 | 02 May 2017 | 06 June 2021 |
| SHANG Qian 尚前 | RE | 1 | 02 May 2017 | 06 June 2021 |
| SHEN Yangwen 申扬文 | RE | 1 | 24 July 2019 | 05 May 2022 |
| SHEN Yi 沈翌 | RE | 1 | 18 June 2012 | 27 March 2015 |
| SOLOMONS Jarrad Brendon | RE | 4 | 30 September 2016 | 02 August 2019 |
| SOLOMONS Jarrad Brendon | RE | 1 | 30 September 2016 | 02 August 2019 |
| SOLOMONS Jarrad Brendon | RE | 9 | 30 September 2016 | 02 August 2019 |
| SURATKAL Kishore Sheena | RE | 9 | 02 November 2006 | 16 March 2010 |
| SURATKAL Kishore Sheena | RE | 4 | 15 September 2006 | 16 March 2010 |
| TAKAO Kentaro | RE | 1 | 31 July 2012 | 07 April 2015 |
| TAN Ruijia 談蕊嘉 | RE | 4 | 21 May 2018 | 15 October 2021 |
| TAN Ruijia 談蕊嘉 | RE | 1 | 21 May 2018 | 15 October 2021 |
| TIAN Hanlin 田翰林 | RE | 4 | 01 February 2017 | |
| TIAN Hanlin 田翰林 | RE | 1 | 01 February 2017 | |
| URQUIDI Pedro | RE | 1 | 01 April 2019 | 21 May 2019 |
| URQUIDI Pedro | RO | 9 | 21 May 2019 | |
| URQUIDI Pedro | RO | 4 | 21 May 2019 | |
| URQUIDI Pedro | RO | 1 | 21 May 2019 | |
| URQUIDI Pedro | RE | 9 | 01 April 2019 | 21 May 2019 |
| URQUIDI Pedro | RE | 4 | 01 April 2019 | 21 May 2019 |
| VADUKUL Nishad | RE | 1 | 18 March 2024 | |
| VADUKUL Nishad | RE | 4 | 18 March 2024 | |
| WANG Daren 王达人 | RE | 4 | 03 January 2023 | |
| WANG Daren 王达人 | RE | 1 | 03 January 2023 | |
| WANG Huiying 王薈瑩 | RE | 1 | 02 November 2015 | 21 October 2022 |
| WARDROP-SZILAGYI Allan Clement Simpson | RO | 1 | 10 January 2024 | |
| WARDROP-SZILAGYI Allan Clement Simpson | RO | 4 | 10 January 2024 | |
| WARDROP-SZILAGYI Allan Clement Simpson | RE | 1 | 14 August 2020 | 10 January 2024 |
| WEI Binjie 韋彬杰 | RE | 4 | 09 August 2022 | |
| WEI Binjie 韋彬杰 | RE | 1 | 09 August 2022 | |
| WONG Yau Nang 王祐能 | RO | 1 | 06 August 2014 | 16 October 2020 |
| WONG Yau Nang 王祐能 | RE | 1 | 04 July 2014 | 06 August 2014 |
| WU Benjamin 烏嘉駿 | RE | 4 | 26 October 2017 | |
| WU Benjamin 烏嘉駿 | RE | 1 | 26 October 2017 | |
| WU Qin 武芹 | RE | 1 | 21 December 2018 | 31 March 2021 |
| WU William Chen-Xi 吳晨曦 | RE | 1 | 28 December 2020 | 08 December 2021 |
| WU William Chen-Xi 吳晨曦 | RE | 4 | 28 December 2020 | 08 December 2021 |
| WU William Chen-Xi 吳晨曦 | RE | 4 | 27 September 2017 | 02 August 2019 |
| WU William Chen-Xi 吳晨曦 | RE | 1 | 27 September 2017 | 02 August 2019 |
| YAU Hang Huen, Jane 邱恆萱 | RE | 4 | 08 March 2012 | 24 May 2016 |
| YIP Wan Man, Jennifer 葉韻文 | RE | 1 | 11 November 2020 | |
| ZHANG Jing 张婧 | RE | 1 | 30 January 2023 | 11 February 2023 |
| ZHANG Jing 张婧 | RE | 1 | 05 January 2023 | 19 January 2023 |
| ZHANG Ruihang 張瑞航 | RE | 1 | 19 November 2019 | 31 March 2021 |
| ZHANG Yi 張軼 | RO | 9 | 05 June 2015 | 16 August 2019 |
| ZHANG Yi 張軼 | RO | 4 | 05 June 2015 | 16 August 2019 |
| ZHANG Yi 張軼 | RO | 1 | 05 June 2015 | 16 August 2019 |
| ZHANG Yi 張軼 | RE | 4 | 15 July 2014 | 05 June 2015 |
| ZHOU Meng 周萌 | RE | 4 | 25 October 2011 | 27 February 2015 |
| ZHOU Meng 周萌 | RE | 1 | 25 October 2011 | 27 February 2015 |
| ZHOU Yajun 周雅君 | RE | 1 | 13 August 2021 | 08 August 2023 |
| ZHU Dennis Demiao 朱德淼 | RE | 9 | 14 May 2007 | 08 June 2011 |
| ZHU Dennis Demiao 朱德淼 | RE | 4 | 14 May 2007 | 08 June 2011 |
| ZHU Dennis Demiao 朱德淼 | RE | 1 | 14 May 2007 | 08 June 2011 |
| ZHU Shengchu 朱聖初 | RE | 1 | 14 March 2014 | 05 September 2014 |