Current licenceholders of AOK809 Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholder | Role | Licences | Start date |
|---|---|---|---|
| TAN Wei 谈威 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 May 2020 |
| LI Yao 李尧 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 22 May 2020 |
| ZHANG Xinyi 章心怡 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 21 May 2020 |
| CHUNG Chi Chuen Ryan 鍾志銓 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 19 May 2020 |
| XU Wen 徐雯 | RE | [2] (Dealing in Futures Contracts) | 19 May 2020 |
| HOU Siqi 侯思琪 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) | 08 May 2020 |
| KWOK Marcus Chun Kue | RE | [2] (Dealing in Futures Contracts) | 07 May 2020 |
| XU Wen 徐雯 | RE | [1] (Dealing in Securities) | 07 May 2020 |
| NG Ting Chi 吳廷智 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 06 May 2020 |
| QIU Hanxuan 邱瀚萱 | RE | [4] (Advising on Securities) | 23 April 2020 |
| YAO Xiangchen 姚翔晨 | RE | [4] (Advising on Securities) | 23 April 2020 |
| GONG Yihan 宮宜含 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 17 April 2020 |
| WONG Yick 王奕 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 17 April 2020 |
| LI Bin 李斌 | RE | [4] (Advising on Securities) | 17 April 2020 |
| SHEN Juan 沈娟 | RE | [4] (Advising on Securities) | 17 April 2020 |
| LI Jian 李健 | RO | [4] (Advising on Securities) | 16 April 2020 |
| HUANG Jiamin 黃嘉敏 | RE | [1] (Dealing in Securities) | 16 April 2020 |
| ZHU Yali 朱亞莉 | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 15 April 2020 |
| YUN Jing 雲晶 | RE | [4] (Advising on Securities) | 09 April 2020 |
| CAI Yi 蔡乙 | RE | [4] (Advising on Securities) | 06 April 2020 |
| HUANG Jiamin 黃嘉敏 | RE | [4] (Advising on Securities), [9] (Asset Management) | 06 April 2020 |
| WU Hao 鄔浩 | RO | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 25 March 2020 |
| CAI Yi 蔡乙 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 24 March 2020 |
| WONG Chi Ming 黃志明 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 23 March 2020 |
| ZHANG Wei 張韋 | RE | [2] (Dealing in Futures Contracts) | 11 March 2020 |
| WANG Weijia 王瑋嘉 | RE | [4] (Advising on Securities) | 09 March 2020 |
| YUAN Ding 袁釘 | RE | [4] (Advising on Securities) | 09 March 2020 |
| WANG Jiawei 王佳瑋 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 04 March 2020 |
| LIN Shanshan 林姍姍 | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 04 March 2020 |
| YUAN Zhongping 袁中平 | RE | [4] (Advising on Securities) | 04 March 2020 |
| ZENG Luhai 曾鹿海 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 28 February 2020 |
| YAN Ke 顏克 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 18 February 2020 |
| NG Chee Khoon | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 17 February 2020 |
| TONG Tao 童韜 | RO | [6] (Advising on Corporate Finance) | 07 February 2020 |
| CHEN Xiaoyu 陳肖宇 | RE | [4] (Advising on Securities) | 04 February 2020 |
| ZHANG Jiqiang 張繼强 | RE | [4] (Advising on Securities) | 03 February 2020 |
| ZHANG Xiaofeng 張晓峰 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 22 January 2020 |
| CHEN Xiaoyu 陳肖宇 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 21 January 2020 |
| LI Jiaqi 李佳琪 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 21 January 2020 |
| ZHOU Yang 周漾 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 21 January 2020 |
| FAN Wenchao 范文超 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 16 January 2020 |
| WANG Shuai 王帥 | RO | [4] (Advising on Securities) | 14 January 2020 |
| LIU Zixiao 劉子瀟 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 08 January 2020 |
| SHAN Yibo 單弋波 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 23 December 2019 |
| PANG Ka Yin 彭嘉賢 | RE | [1] (Dealing in Securities) | 19 December 2019 |
| LIU Joseph | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 19 December 2019 |
| YIN Ziwei 尹梓維 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 19 December 2019 |
| LIANG Heye 梁鶴也 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 17 December 2019 |
| YUE Meimei 岳梅梅 | RE | [4] (Advising on Securities) | 17 December 2019 |
| GU Hanyu 顧寒宇 | RE | [4] (Advising on Securities) | 29 November 2019 |
| LAI Yan 賴焉 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 18 November 2019 |
| TONG Joseph Che 唐智仁 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 18 November 2019 |
| XU Guang 徐光 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 06 November 2019 |
| GU Hanyu 顧寒宇 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 04 November 2019 |
| CHIANG Pei-Ju 蔣佩儒 | RE | [4] (Advising on Securities) | 28 October 2019 |
| ZHU Yali 朱亞莉 | RE | [2] (Dealing in Futures Contracts) | 28 October 2019 |
| TONG Tao 童韜 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 24 October 2019 |
| ZHANG Jinsong 張勁松 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 22 October 2019 |
| WANG Zhi Yu | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 17 October 2019 |
| MA Rui 馬蕊 | RE | [4] (Advising on Securities) | 16 October 2019 |
| CHEN Enshi 陳恩石 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 16 October 2019 |
| CHIANG Pei-Ju 蔣佩儒 | RE | [1] (Dealing in Securities) | 10 October 2019 |
| DENG Dian 鄧典 | RE | [4] (Advising on Securities) | 09 October 2019 |
| CHENG Patricia Pan 鄭彬 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 08 October 2019 |
| WU Hao 鄔浩 | RE | [4] (Advising on Securities) | 27 September 2019 |
| LI Hualin 黎華麟 | RE | [9] (Asset Management) | 27 September 2019 |
| XIE Hongbin 謝洪彬 | RE | [4] (Advising on Securities) | 25 September 2019 |
| WONG Shui 王帥 | RE | [4] (Advising on Securities) | 25 September 2019 |
| DENG Dian 鄧典 | RE | [1] (Dealing in Securities) | 20 September 2019 |
| LI Chun Kit, Joseph 李駿傑 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 03 September 2019 |
| LIU Zhanpeng 劉展鵬 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 August 2019 |
| WANG Yiqi 王一棋 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 August 2019 |
| SHEN Ao 沈奧 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 26 August 2019 |
| YUAN Xinyi 袁新熠 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 August 2019 |
| LI Shuo 李碩 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 26 August 2019 |
| YANG Liang 杨亮 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 26 August 2019 |
| DUAN Yefei 段曄斐 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 20 August 2019 |
| XU Houze 徐厚澤 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 20 August 2019 |
| WANG Shasha 王莎莎 | RE | [4] (Advising on Securities) | 15 August 2019 |
| CHEN Shanshan 陳姍姍 | RE | [2] (Dealing in Futures Contracts) | 14 August 2019 |
| ZHANG Qianqian 張茜倩 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 08 August 2019 |
| CHEN Shanshan 陳姍姍 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 29 July 2019 |
| CHEN Cheng 陳誠 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 16 July 2019 |
| NG Yu Chung 吳汝忠 | RE | [4] (Advising on Securities) | 11 July 2019 |
| QIAO Wei 喬煒 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 24 June 2019 |
| SU Yang 宿陽 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 20 June 2019 |
| LI Xiaomin 李笑旻 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 19 June 2019 |
| DING Jiawen 丁嘉文 | RE | [4] (Advising on Securities) | 13 June 2019 |
| MENG Zhanchen 蒙占辰 | RE | [4] (Advising on Securities) | 11 June 2019 |
| MENG Zhanchen 蒙占辰 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 22 May 2019 |
| YUAN Xi 袁茜 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 22 May 2019 |
| GUO Ziqi 郭子綺 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 20 May 2019 |
| WANG Yanni 王燕妮 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 April 2019 |
| WU Yaguang 吳亞光 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 23 April 2019 |
| LI Hualin 黎華麟 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 23 April 2019 |
| CHAN Kai Tung, Clayton 陳啟東 | RE | [4] (Advising on Securities) | 16 April 2019 |
| XU Zijian 徐子健 | RE | [4] (Advising on Securities) | 16 April 2019 |
| ZHOU Jingdong 周敬東 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 16 April 2019 |
| GAO Xu 高旭 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 16 April 2019 |
| WANG Tian 王田 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 04 April 2019 |
| YANG Yingqiu 楊影秋 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 02 April 2019 |
| GUO Jiawei 郭佳偉 | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 01 April 2019 |
| ZHU Minyue 朱旻月 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 26 March 2019 |
| ZHAN Ni 詹妮 | RE | [4] (Advising on Securities) | 26 March 2019 |
| CHAN Hoi Yan 陳凱欣 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 18 March 2019 |
| ZHANG Shaoqing 張少卿 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 13 March 2019 |
| YANG Buyun 楊佈云 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 12 March 2019 |
| WANG Dien 王迪恩 | RE | [4] (Advising on Securities) | 11 March 2019 |
| LOK Chun Kit 駱俊傑 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 12 February 2019 |
| HO Pui Lam 何沛霖 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 11 February 2019 |
| YI Chen 易琛 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 08 February 2019 |
| TANG Wenchang 湯文昶 | RE | [4] (Advising on Securities) | 31 January 2019 |
| HU Yuzhou 胡宇舟 | RE | [4] (Advising on Securities) | 28 January 2019 |
| DONG Chunchun 董淳淳 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 24 January 2019 |
| ZHANG Fan 張帆 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 21 January 2019 |
| WU Yilin 吳亦琳 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 10 January 2019 |
| HUNG Tsun Hay 洪浚曦 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 28 December 2018 |
| YEUNG Tsui Yan 楊翠茵 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 07 December 2018 |
| TIAN Ce 田策 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) | 07 December 2018 |
| FAN Zhongzhe 樊仲哲 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 05 December 2018 |
| BAI Jintao 白金濤 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 05 December 2018 |
| ZHANG Dan 張丹 | RO | [6] (Advising on Corporate Finance) | 04 December 2018 |
| LAO Peiwen 勞沛雯 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 03 December 2018 |
| CHEN Li 陳莉 | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 26 November 2018 |
| DONG Jizhou 董季舟 | RE | [4] (Advising on Securities) | 21 November 2018 |
| CAO Yu 曹愚 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 21 November 2018 |
| LIU Ying 劉瑩 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 08 November 2018 |
| XIANG Peipei 向沛沛 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 16 October 2018 |
| XIE Shengsi 謝聖思 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 11 October 2018 |
| WONG Isaac James | RE | [6] (Advising on Corporate Finance) | 09 October 2018 |
| HO Pui Lam 何沛霖 | RE | [4] (Advising on Securities) | 03 October 2018 |
| LIU Tianjiao 劉天姣 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 03 October 2018 |
| CHAN Kar Yin, Gabriel 陳嘉賢 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 26 September 2018 |
| RU Tao 茹濤 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 13 September 2018 |
| YANG Bojun 楊博俊 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 13 September 2018 |
| SHAO Yi 邵熠 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 11 September 2018 |
| LIAO Yixing 廖逸星 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 11 September 2018 |
| ZHUANG Dong 莊東 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 11 September 2018 |
| CHENG Liu 成柳 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 06 September 2018 |
| LIU Zhenghao 劉征昊 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 03 September 2018 |
| PENG Kuijian 彭魁建 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 03 September 2018 |
| XING Chongyang 邢重陽 | RE | [4] (Advising on Securities) | 03 September 2018 |
| SHEN Luqing 沈盧慶 | RE | [4] (Advising on Securities) | 27 August 2018 |
| ZHANG Hua 張華 | RE | [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 23 August 2018 |
| WU Lin Sheng 吳林聲 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 16 August 2018 |
| HU Xisha 胡錫莎 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 13 August 2018 |
| WU Junya 武俊雅 | RO | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 13 August 2018 |
| WU Junya 武俊雅 | RE | [4] (Advising on Securities) | 30 July 2018 |
| CHAN Kai Tung, Clayton 陳啟東 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 23 July 2018 |
| XIA Danning 夏丹宁 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 23 July 2018 |
| HE Yanwei 何彥瑋 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 23 July 2018 |
| WANG Bei 王蓓 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) | 18 July 2018 |
| DU Dan 杜丹 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) | 16 July 2018 |
| LUO Yixin 羅藝鑫 | RE | [4] (Advising on Securities) | 06 July 2018 |
| MOK Chun Tung 莫振東 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 05 July 2018 |
| MOK Chun Tung 莫振東 | RE | [6] (Advising on Corporate Finance) | 27 June 2018 |
| YU Yi 余熠 | RE | [4] (Advising on Securities) | 27 June 2018 |
| LI Qian 李乾 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 19 June 2018 |
| XU Zijian 徐子健 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 08 June 2018 |
| LI Xiaofan 李晓凡 | RE | [2] (Dealing in Futures Contracts) | 31 May 2018 |
| REN Jia 任佳 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 28 May 2018 |
| QIU Tong 邱彤 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 25 May 2018 |
| TAO Ye 陶冶 | RE | [4] (Advising on Securities) | 17 May 2018 |
| FENG Xing 馮星 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 16 May 2018 |
| NG Yu Chung 吳汝忠 | RE | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 03 May 2018 |
| CHEN Jing 陳靜 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 20 April 2018 |
| LI Xiaofan 李晓凡 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 19 April 2018 |
| LIU Zhenghao 劉征昊 | RE | [4] (Advising on Securities) | 09 April 2018 |
| WANG Yi 王以 | RE | [4] (Advising on Securities) | 27 March 2018 |
| ZHANG Wei 張韋 | RE | [1] (Dealing in Securities) | 21 March 2018 |
| SHI Jing 施静 | RE | [4] (Advising on Securities) | 15 March 2018 |
| JIANG Xin 蔣欣 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 14 March 2018 |
| WANG Dige 王笛歌 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 08 February 2018 |
| HUANG Yue 黃玥 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 05 February 2018 |
| ZHANG Dan 張丹 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 01 February 2018 |
| LIU Shanshan 劉珊珊 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 26 January 2018 |
| JIANG Hao 姜浩 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 17 January 2018 |
| CHEN Liang 陳靚 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 15 January 2018 |
| KOK Tung Wa, Cathy 郝冬樺 | RO | [9] (Asset Management) | 29 December 2017 |
| CHEN Yujia 陳宇佳 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 12 December 2017 |
| CHAN Tammy 陳嘉琪 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 01 December 2017 |
| LI Jingshu 李京書 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 22 November 2017 |
| HAN Kexiong 韓克雄 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 20 November 2017 |
| WANG Lei 王磊 | RO | [2] (Dealing in Futures Contracts), [9] (Asset Management) | 16 November 2017 |
| KWOK Marcus Chun Kue | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 08 November 2017 |
| LIN Haiping 林海萍 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 02 November 2017 |
| DAI Yihang 戴一航 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 26 October 2017 |
| SUN Xiangxiao 孫祥霄 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 18 October 2017 |
| XU Peizhi 徐培智 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 09 October 2017 |
| LIU Ye 劉葉 | RE | [4] (Advising on Securities) | 06 September 2017 |
| KOK Tung Wa, Cathy 郝冬樺 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 04 August 2017 |
| LU Cheng 呂程 | RE | [4] (Advising on Securities) | 31 July 2017 |
| SUN Shangyun 孫上雲 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 06 July 2017 |
| YANG Ye 楊燁 | RE | [4] (Advising on Securities) | 06 July 2017 |
| LIU Ying 劉穎 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 28 June 2017 |
| YAO Shijia 姚世佳 | RE | [4] (Advising on Securities) | 26 June 2017 |
| LIAO Shunrui 廖順睿 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 02 June 2017 |
| HE Saiyi 賀賽一 | RE | [4] (Advising on Securities) | 17 May 2017 |
| ZHU Shirong 朱世融 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 11 May 2017 |
| WANG Lei 王磊 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 28 April 2017 |
| DAI Wen 代雯 | RE | [4] (Advising on Securities) | 28 April 2017 |
| SHI Xiaofeng 史晓峰 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 April 2017 |
| LEUNG Tat Pui 梁達培 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 09 March 2017 |
| FU Wing Yan, Rebecca 傅穎欣 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 09 February 2017 |
| LIN Zhixuan 林志軒 | RE | [4] (Advising on Securities) | 27 January 2017 |
| LIU Taojiang 劉濤江 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 26 January 2017 |
| LIN Xiaying 林霞穎 | RE | [4] (Advising on Securities) | 16 January 2017 |
| SHEN Xiaofeng 沈曉峰 | RE | [4] (Advising on Securities) | 09 January 2017 |
| LI Yun 李沄 | RE | [4] (Advising on Securities) | 16 December 2016 |
| LIN Shan 林珊 | RE | [4] (Advising on Securities) | 29 November 2016 |
| XU Zhan 徐湛 | RE | [4] (Advising on Securities) | 22 November 2016 |
| XU Zhan 徐湛 | RO | [1] (Dealing in Securities), [6] (Advising on Corporate Finance) | 22 November 2016 |
| LIU Xutong 劉旭彤 | RE | [4] (Advising on Securities) | 11 November 2016 |
| YANG Xuan | RE | [4] (Advising on Securities) | 06 July 2016 |
| HO May Sam 何美心 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 17 June 2016 |
| LI Ka Yiu 李家耀 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 06 June 2016 |
| HUI Shan 許珊 | RE | [1] (Dealing in Securities) | 09 May 2016 |
| GONG Jie 龚劼 | RE | [4] (Advising on Securities) | 07 April 2016 |
| ZHU Ping 祝萍 | RE | [4] (Advising on Securities) | 22 March 2016 |
| CHAN Cham Pong, Cedric 陳湛邦 | RE | [1] (Dealing in Securities) | 24 November 2015 |
| CHEUNG Hoi Shan 張海珊 | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 23 November 2015 |
| SUM Hing Man 岑慶文 | RO | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) | 28 August 2015 |
| POON Joseph Chi Ho 潘之豪 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 22 June 2015 |
| WONG Isaac James | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 02 April 2015 |
| FAN Yunfeng 范云凤 | RO | [4] (Advising on Securities) | 27 August 2014 |
| WANG Qian 王茜 | RE | [6] (Advising on Corporate Finance) | 20 August 2014 |
| DING Er 丁爾 | RE | [4] (Advising on Securities), [6] (Advising on Corporate Finance) | 15 August 2014 |
| GUAN Haiyan 關海燕 | RE | [4] (Advising on Securities) | 16 September 2013 |
| YIP Lee Na 葉莉娜 | RE | [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) | 30 May 2013 |
| WANG Qian 王茜 | RE | [1] (Dealing in Securities), [4] (Advising on Securities) | 24 January 2013 |