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 |
|---|---|---|---|
| LIU Zhao 劉昭 | RE | 2 (Dealing in Futures Contracts) | 2021-04-12 |
| ISKANDAR Boris 廖萬榮 | RE | 4 (Advising on Securities), 9 (Asset Management) | 2021-04-12 |
| LIU Lu 刘鹭 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-04-08 |
| LI Dan 李丹 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2021-04-08 |
| LIU Jun 刘骏 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2021-04-01 |
| CHUNG Chi Chuen Ryan 鍾志銓 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-04-01 |
| YIN Fangfei 尹芳菲 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2021-03-30 |
| HUANG Xiaobin 黄晓彬 | RE | 4 (Advising on Securities) | 2021-03-29 |
| NG Yu Chung 吳汝忠 | RE | 9 (Asset Management) | 2021-03-23 |
| ISKANDAR Boris 廖萬榮 | RE | 1 (Dealing in Securities) | 2021-03-19 |
| LIU Zhao 劉昭 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-03-19 |
| PAN Qiaochu 潘翹楚 | RE | 1 (Dealing in Securities) | 2021-03-17 |
| LI Jing 李晶 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2021-03-16 |
| FU Wing Yan, Rebecca 傅穎欣 | RO | 4 (Advising on Securities), 1 (Dealing in Securities) | 2021-03-15 |
| ZHAO Luming 趙路明 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2021-03-11 |
| LIU Jiayi 刘嘉怡 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2021-03-10 |
| LIU Bohua 柳柏桦 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2021-03-08 |
| WU Junya 武俊雅 | RE | 9 (Asset Management) | 2021-03-05 |
| WANG Juan 王娟 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-03-05 |
| YIN Li 尹力 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2021-03-05 |
| LAI Yiu Kuen 黎耀權 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2021-03-05 |
| ZHANG Xuan 张璇 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2021-02-25 |
| LAM Ching Lok Gary 林清樂 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2021-02-23 |
| LIU Ying 劉瑩 | RE | 9 (Asset Management) | 2021-02-18 |
| LIU Xi 刘曦 | RE | 4 (Advising on Securities) | 2021-02-16 |
| LIU Yitong 劉奕彤 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-02-16 |
| DING Ding 丁丁 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2021-02-10 |
| XU Zijian 徐子健 | RE | 9 (Asset Management) | 2021-02-09 |
| ZHANG Bingran 張冰然 | RE | 9 (Asset Management) | 2021-02-09 |
| CHAN Kai Tung, Clayton 陳啟東 | RE | 9 (Asset Management) | 2021-02-09 |
| ZHANG Shaoqing 張少卿 | RE | 9 (Asset Management) | 2021-02-09 |
| YANG Yang 杨阳 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2021-02-09 |
| ZHANG Qianqian 張茜倩 | RE | 9 (Asset Management) | 2021-02-09 |
| HUANG Bo 黄波 | RE | 4 (Advising on Securities) | 2021-02-03 |
| GONG Runhua 龚润华 | RE | 4 (Advising on Securities) | 2021-02-03 |
| YAN Wenjun 閻雯君 | RE | 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities) | 2021-02-03 |
| CHEN Shen 陳慎 | RE | 4 (Advising on Securities) | 2021-01-29 |
| WANG Zhengrui 王正睿 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2021-01-29 |
| ZHANG Guangyao 张光耀 | RO | 4 (Advising on Securities) | 2021-01-29 |
| ZHOU Xin 周鑫 | RE | 4 (Advising on Securities) | 2021-01-26 |
| SUN Danyang 孙丹阳 | RE | 4 (Advising on Securities) | 2021-01-26 |
| CHAN Hon Kiu 陳侃翹 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2021-01-25 |
| HUI Ka Hei Kenneth 許家晞 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2021-01-25 |
| LI Xian 李晛 | RE | 4 (Advising on Securities) | 2021-01-21 |
| DENG Songjun 鄧松君 | RE | 4 (Advising on Securities) | 2021-01-21 |
| HU Xiaobei 胡晓貝 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 9 (Asset Management) | 2021-01-19 |
| ZHAO Bowen 赵博闻 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2021-01-19 |
| LI Yi Sum 李懿沁 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2021-01-07 |
| TIAN Lei 田蕾 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2021-01-05 |
| YAO Jack Hsin-Chou 姚信州 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities) | 2021-01-05 |
| CHUNG Chi Chuen Ryan 鍾志銓 | RE | 9 (Asset Management) | 2021-01-04 |
| LU Wenyu 盧文煜 | RE | 4 (Advising on Securities), 9 (Asset Management), 1 (Dealing in Securities) | 2020-12-30 |
| YAO Peirong 要佩蓉 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-12-30 |
| CHEN Dong 陈栋 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-12-30 |
| LIN Huanyu 林寰宇 | RE | 4 (Advising on Securities) | 2020-12-30 |
| TU Kehan 涂可涵 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-12-30 |
| HU Jiazhi 胡嘉志 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-12-29 |
| CHEN Wanqi 陳婉琪 | RE | 4 (Advising on Securities) | 2020-12-28 |
| WONG Isaac James | RE | 9 (Asset Management) | 2020-12-28 |
| SUN Boqian 孙博谦 | RE | 4 (Advising on Securities) | 2020-12-18 |
| ZHAO Lu 赵璐 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2020-12-16 |
| DENG Songjun 鄧松君 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-12-16 |
| TONG Joseph Che 唐智仁 | RE | 9 (Asset Management) | 2020-12-09 |
| WU Lin Sheng 吳林聲 | RE | 9 (Asset Management) | 2020-12-09 |
| QI Sihan 齊思涵 | RE | 9 (Asset Management) | 2020-12-09 |
| LAO Peiwen 勞沛雯 | RE | 9 (Asset Management) | 2020-12-09 |
| LEUNG Hei Man 梁義珉 | RE | 9 (Asset Management) | 2020-12-09 |
| TANG Chun Chung 鄧駿聰 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-12-08 |
| ZHANG Mo 张墨 | RE | 4 (Advising on Securities) | 2020-12-04 |
| XIAO Jie 肖杰 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-12-04 |
| WANG Lin 王林 | RE | 4 (Advising on Securities) | 2020-12-03 |
| ZHANG Jinsong 張勁松 | RO | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-12-02 |
| GONG Yuanyue 龚源月 | RE | 4 (Advising on Securities) | 2020-12-01 |
| SUN Boqian 孙博谦 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2020-11-25 |
| CHANG Huili 常慧麗 | RE | 4 (Advising on Securities) | 2020-11-24 |
| LU Wentao 陆文韬 | RE | 4 (Advising on Securities) | 2020-11-23 |
| BAI Xiaopu 白效溥 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-11-23 |
| HAN Mingfei 韓鳴飛 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-11-20 |
| MA Zhiying 馬稚穎 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-20 |
| CHEN Lingshan 陳凌珊 | RE | 9 (Asset Management), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-20 |
| XIE Mali 謝瑪麗 | RE | 1 (Dealing in Securities), 9 (Asset Management), 4 (Advising on Securities) | 2020-11-19 |
| FENG He 冯鹤 | RE | 4 (Advising on Securities) | 2020-11-17 |
| HUANG Fanyang 黄凡洋 | RE | 4 (Advising on Securities) | 2020-11-17 |
| ZHU Xun 朱洵 | RE | 4 (Advising on Securities) | 2020-11-17 |
| CHI Cheng 遲騁 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2020-11-13 |
| LIANG Heye 梁鶴也 | RE | 2 (Dealing in Futures Contracts) | 2020-11-11 |
| TAO Shengyu 陶圣禹 | RE | 4 (Advising on Securities) | 2020-11-10 |
| CHEN Jiaqi 陳嘉琦 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2020-11-06 |
| YANG Xu 楊旭 | RE | 4 (Advising on Securities) | 2020-11-05 |
| GUAN Dongqilai 关东奇来 | RE | 4 (Advising on Securities) | 2020-11-05 |
| QIAN Fangzheng 錢方正 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-11-05 |
| CHAU Kong San 周港新 | RE | 2 (Dealing in Futures Contracts) | 2020-11-05 |
| YU Ge 余歌 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-11-04 |
| CHEUNG Wai Lik 張偉力 | RO | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-11-02 |
| LI Yanping 李艷萍 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-10-30 |
| LU Kebin 盧可彬 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-10-30 |
| WANG Bei 王蓓 | RO | 9 (Asset Management), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-23 |
| CHAU Kong San 周港新 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-10-23 |
| YANG Xu 楊旭 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2020-10-22 |
| GUO Jiawei 郭佳偉 | RE | 2 (Dealing in Futures Contracts) | 2020-10-20 |
| ZHANG Xinyi 章心怡 | RE | 2 (Dealing in Futures Contracts) | 2020-10-20 |
| LI Ran 李然 | RE | 2 (Dealing in Futures Contracts) | 2020-10-19 |
| ZHOU Jialiang 周嘉梁 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-10-19 |
| ZHANG Xuanci 張軒慈 | RE | 2 (Dealing in Futures Contracts) | 2020-10-16 |
| XIONG Shiping 熊士平 | RE | 2 (Dealing in Futures Contracts) | 2020-10-16 |
| LAU Yik Ting 劉奕霆 | RO | 1 (Dealing in Securities) | 2020-10-15 |
| YE Xiao 叶晓 | RE | 4 (Advising on Securities) | 2020-10-15 |
| LIANG Yu 梁瑜 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-14 |
| LI Ran 李然 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-10-14 |
| HE Rui 何睿 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2020-10-09 |
| LAN Tianyu 藍天宇 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2020-10-09 |
| MA Zhiying 馬稚穎 | RE | 6 (Advising on Corporate Finance) | 2020-10-09 |
| LIU Wenqi 劉雯琪 | RE | 4 (Advising on Securities) | 2020-10-08 |
| YI Huan 易峘 | RE | 4 (Advising on Securities) | 2020-10-08 |
| MEI Xin 梅昕 | RE | 4 (Advising on Securities) | 2020-10-06 |
| QIU Tong 邱彤 | RE | 2 (Dealing in Futures Contracts) | 2020-10-06 |
| SHAO Yunxiao 邵云霄 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-10-06 |
| ZHANG Yanchuan 張岩川 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-10-06 |
| HUANG Xiaoyi 黃晓以 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-10-06 |
| LIAO Zezhou 廖澤州 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-10-06 |
| YANG Zhou 楊洲 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-10-06 |
| HUNG Tsun Hay 洪浚曦 | RE | 2 (Dealing in Futures Contracts) | 2020-10-06 |
| JIANG Haiyuan 江海源 | RE | 2 (Dealing in Futures Contracts) | 2020-10-06 |
| RAN Ziyue 冉紫玥 | RE | 2 (Dealing in Futures Contracts) | 2020-10-06 |
| ZHANG Jinsong 張勁松 | RE | 2 (Dealing in Futures Contracts) | 2020-09-29 |
| CHEN Xiaoyu 陳肖宇 | RO | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-09-29 |
| CHIANG Pei-Ju 蔣佩儒 | RE | 2 (Dealing in Futures Contracts) | 2020-09-29 |
| KWOK Ka Shing 郭家誠 | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-09-29 |
| WANG Edwin Meng Bai 王孟柏 | RE | 2 (Dealing in Futures Contracts) | 2020-09-29 |
| DONG Chunchun 董淳淳 | RE | 2 (Dealing in Futures Contracts) | 2020-09-29 |
| HUANG Yuqiang 黃裕强 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-09-28 |
| SU Shiyu 蘇施羽 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-09-28 |
| LI Shiqiang 李仕强 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-09-28 |
| WONG Mabel 王霈榕 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-09-28 |
| LIU Liujun 劉柳君 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-09-14 |
| LIU Qianlin 刘千琳 | RE | 4 (Advising on Securities) | 2020-09-11 |
| ZHANG Xuanci 張軒慈 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-09-11 |
| LIAO Zezhou 廖澤州 | RE | 1 (Dealing in Securities) | 2020-09-11 |
| RAN Ziyue 冉紫玥 | RE | 1 (Dealing in Securities) | 2020-09-11 |
| XIONG Shiping 熊士平 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-09-11 |
| XIE Yuhong 謝雨泓 | RE | 2 (Dealing in Futures Contracts) | 2020-09-04 |
| LI Shuo 李碩 | RO | 2 (Dealing in Futures Contracts) | 2020-09-03 |
| FAN Wenchao 范文超 | RO | 2 (Dealing in Futures Contracts) | 2020-09-03 |
| SHANG Xiao 尚笑 | RE | 4 (Advising on Securities) | 2020-09-02 |
| GUO Yali 郭雅丽 | RE | 4 (Advising on Securities) | 2020-09-01 |
| ZHOU Zhao 周钊 | RE | 4 (Advising on Securities) | 2020-09-01 |
| QIU Leyuan 邱乐园 | RE | 4 (Advising on Securities) | 2020-08-31 |
| HAN Xiao 韩笑 | RE | 4 (Advising on Securities) | 2020-08-31 |
| ZHANG Bingran 張冰然 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-08-27 |
| HUANG Bin 黄斌 | RE | 4 (Advising on Securities) | 2020-08-26 |
| XIE Yuhong 謝雨泓 | RE | 1 (Dealing in Securities) | 2020-08-24 |
| ZOU Mengtao 鄒夢濤 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-08-24 |
| LI Hua 李驊 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-08-20 |
| WANG Jie 王捷 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-08-20 |
| LIN Xiaoming 林晓明 | RE | 4 (Advising on Securities) | 2020-08-14 |
| SHANG Xiao 尚笑 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2020-08-13 |
| JIANG Haiyuan 江海源 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-08-12 |
| HU Jian 胡剑 | RE | 4 (Advising on Securities) | 2020-08-12 |
| CHEN Yufeng 陈羽锋 | RE | 4 (Advising on Securities) | 2020-08-04 |
| ZHU Jun 朱珺 | RE | 4 (Advising on Securities) | 2020-08-04 |
| ZHANG Pengtao 張澎濤 | RE | 4 (Advising on Securities) | 2020-08-03 |
| CHENG Sze Man 鄭詩敏 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-08-03 |
| WANG Senquan 王森泉 | RE | 4 (Advising on Securities) | 2020-07-28 |
| LEUNG Hei Man 梁義珉 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-07-24 |
| ZHANG Pengtao 張澎濤 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-07-22 |
| ZHANG Xinyuan 张馨元 | RE | 4 (Advising on Securities) | 2020-07-17 |
| FANG Yanhe 方晏荷 | RE | 4 (Advising on Securities) | 2020-07-17 |
| SUN Lida 孫力達 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-07-16 |
| CHEN Cheng 陳誠 | RO | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-07-16 |
| LAU Yik Ting 劉奕霆 | RE | 2 (Dealing in Futures Contracts) | 2020-07-16 |
| NG Chee Khoon | RE | 2 (Dealing in Futures Contracts) | 2020-07-16 |
| ZHOU Jin 周瑾 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-07-15 |
| LAU Yik Ting 劉奕霆 | RE | 4 (Advising on Securities) | 2020-07-13 |
| QI Sihan 齊思涵 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-07-13 |
| WANG Edwin Meng Bai 王孟柏 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-07-08 |
| JIANG Xiongxiao 蔣熊孝 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-06-30 |
| PENG Bo 彭波 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-06-30 |
| ZENG Luhai 曾鹿海 | RO | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-06-18 |
| YU Botao 于博韜 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-06-18 |
| CHENG Chen 程晨 | RE | 4 (Advising on Securities) | 2020-06-11 |
| TAN Wei 谈威 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-05-26 |
| LI Yao 李尧 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-05-22 |
| ZHANG Xinyi 章心怡 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-05-21 |
| XU Wen 徐雯 | RE | 2 (Dealing in Futures Contracts) | 2020-05-19 |
| HOU Siqi 侯思琪 | RE | 1 (Dealing in Securities), 9 (Asset Management), 4 (Advising on Securities) | 2020-05-08 |
| XU Wen 徐雯 | RE | 1 (Dealing in Securities) | 2020-05-07 |
| KWOK Marcus Chun Kue | RE | 2 (Dealing in Futures Contracts) | 2020-05-07 |
| NG Ting Chi 吳廷智 | RO | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-05-06 |
| YAO Xiangchen 姚翔晨 | RE | 4 (Advising on Securities) | 2020-04-23 |
| QIU Hanxuan 邱瀚萱 | RE | 4 (Advising on Securities) | 2020-04-23 |
| LI Bin 李斌 | RE | 4 (Advising on Securities) | 2020-04-17 |
| SHEN Juan 沈娟 | RE | 4 (Advising on Securities) | 2020-04-17 |
| WONG Yick 王奕 | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2020-04-17 |
| GONG Yihan 宮宜含 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-04-17 |
| LI Jian 李健 | RO | 4 (Advising on Securities) | 2020-04-16 |
| HUANG Jiamin 黃嘉敏 | RE | 1 (Dealing in Securities) | 2020-04-16 |
| ZHU Yali 朱亞莉 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-04-15 |
| YUN Jing 雲晶 | RE | 4 (Advising on Securities) | 2020-04-09 |
| HUANG Jiamin 黃嘉敏 | RE | 4 (Advising on Securities), 9 (Asset Management) | 2020-04-06 |
| CAI Yi 蔡乙 | RE | 4 (Advising on Securities) | 2020-04-06 |
| WU Hao 鄔浩 | RO | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-03-25 |
| CAI Yi 蔡乙 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-03-24 |
| WONG Chi Ming 黃志明 | RO | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2020-03-23 |
| ZHANG Wei 張韋 | RE | 2 (Dealing in Futures Contracts) | 2020-03-11 |
| YUAN Ding 袁釘 | RE | 4 (Advising on Securities) | 2020-03-09 |
| WANG Weijia 王瑋嘉 | RE | 4 (Advising on Securities) | 2020-03-09 |
| WANG Jiawei 王佳瑋 | RO | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2020-03-04 |
| YUAN Zhongping 袁中平 | RE | 4 (Advising on Securities) | 2020-03-04 |
| LIN Shanshan 林姍姍 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-03-04 |
| ZENG Luhai 曾鹿海 | RE | 4 (Advising on Securities) | 2020-02-28 |
| NG Chee Khoon | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-02-17 |
| TONG Tao 童韜 | RO | 6 (Advising on Corporate Finance) | 2020-02-07 |
| ZHANG Jiqiang 張繼强 | RE | 4 (Advising on Securities) | 2020-02-03 |
| ZHANG Xiaofeng 張晓峰 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2020-01-22 |
| ZHOU Yang 周漾 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-01-21 |
| LI Jiaqi 李佳琪 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2020-01-21 |
| FAN Wenchao 范文超 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2020-01-16 |
| WANG Shuai 王帥 | RO | 4 (Advising on Securities) | 2020-01-14 |
| LIU Zixiao 劉子瀟 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2020-01-08 |
| SHAN Yibo 單弋波 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-12-23 |
| PANG Ka Yin 彭嘉賢 | RE | 1 (Dealing in Securities) | 2019-12-19 |
| YIN Ziwei 尹梓維 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-12-19 |
| LIU Joseph | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-12-19 |
| LIANG Heye 梁鶴也 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-12-17 |
| YUE Meimei 岳梅梅 | RE | 4 (Advising on Securities) | 2019-12-17 |
| MA Yuanjing 馬源璟 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-11-29 |
| GU Hanyu 顧寒宇 | RE | 4 (Advising on Securities) | 2019-11-29 |
| LAI Yan 賴焉 | RO | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2019-11-18 |
| TONG Joseph Che 唐智仁 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-11-18 |
| GU Hanyu 顧寒宇 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2019-11-04 |
| MA Yuanjing 馬源璟 | RE | 6 (Advising on Corporate Finance) | 2019-11-01 |
| CHIANG Pei-Ju 蔣佩儒 | RE | 4 (Advising on Securities) | 2019-10-28 |
| ZHU Yali 朱亞莉 | RE | 2 (Dealing in Futures Contracts) | 2019-10-28 |
| TONG Tao 童韜 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-10-24 |
| WANG Zhi Yu | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2019-10-17 |
| CHEN Enshi 陳恩石 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2019-10-16 |
| CHIANG Pei-Ju 蔣佩儒 | RE | 1 (Dealing in Securities) | 2019-10-10 |
| CHENG Patricia Pan 鄭彬 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2019-10-08 |
| WU Hao 鄔浩 | RE | 4 (Advising on Securities) | 2019-09-27 |
| WONG Shui 王帥 | RE | 4 (Advising on Securities) | 2019-09-25 |
| XIE Hongbin 謝洪彬 | RE | 4 (Advising on Securities) | 2019-09-25 |
| LIU Zhanpeng 劉展鵬 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2019-08-26 |
| YUAN Xinyi 袁新熠 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-08-26 |
| SHEN Ao 沈奧 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-08-26 |
| LI Shuo 李碩 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-08-26 |
| YANG Liang 杨亮 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-08-26 |
| WANG Yiqi 王一棋 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2019-08-26 |
| XU Houze 徐厚澤 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-08-20 |
| WANG Shasha 王莎莎 | RE | 4 (Advising on Securities) | 2019-08-15 |
| CHEN Shanshan 陳姍姍 | RE | 2 (Dealing in Futures Contracts) | 2019-08-14 |
| ZHANG Qianqian 張茜倩 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-08-08 |
| CHEN Shanshan 陳姍姍 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-07-29 |
| NG Yu Chung 吳汝忠 | RE | 4 (Advising on Securities) | 2019-07-11 |
| QIAO Wei 喬煒 | RO | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2019-06-24 |
| SU Yang 宿陽 | RO | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2019-06-20 |
| LI Xiaomin 李笑旻 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-06-19 |
| MENG Zhanchen 蒙占辰 | RE | 4 (Advising on Securities) | 2019-06-11 |
| YUAN Xi 袁茜 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-05-22 |
| MENG Zhanchen 蒙占辰 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2019-05-22 |
| GUO Ziqi 郭子綺 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2019-05-20 |
| WU Yaguang 吳亞光 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2019-04-23 |
| XU Zijian 徐子健 | RE | 4 (Advising on Securities) | 2019-04-16 |
| ZHOU Jingdong 周敬東 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-04-16 |
| CHAN Kai Tung, Clayton 陳啟東 | RE | 4 (Advising on Securities) | 2019-04-16 |
| WANG Tian 王田 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-04-04 |
| YANG Yingqiu 楊影秋 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2019-04-02 |
| GUO Jiawei 郭佳偉 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-04-01 |
| ZHAN Ni 詹妮 | RE | 4 (Advising on Securities) | 2019-03-26 |
| CHAN Hoi Yan 陳凱欣 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2019-03-18 |
| ZHANG Shaoqing 張少卿 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-03-13 |
| LOK Chun Kit 駱俊傑 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2019-02-12 |
| YI Chen 易琛 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-02-08 |
| HU Yuzhou 胡宇舟 | RE | 4 (Advising on Securities) | 2019-01-28 |
| DONG Chunchun 董淳淳 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2019-01-24 |
| ZHANG Fan 張帆 | RO | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2019-01-21 |
| HUNG Tsun Hay 洪浚曦 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-12-28 |
| YEUNG Tsui Yan 楊翠茵 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-12-07 |
| FAN Zhongzhe 樊仲哲 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2018-12-05 |
| BAI Jintao 白金濤 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2018-12-05 |
| ZHANG Dan 張丹 | RO | 6 (Advising on Corporate Finance) | 2018-12-04 |
| LAO Peiwen 勞沛雯 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-12-03 |
| CHEN Li 陳莉 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-11-26 |
| DONG Jizhou 董季舟 | RE | 4 (Advising on Securities) | 2018-11-21 |
| LIU Ying 劉瑩 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-11-08 |
| XIANG Peipei 向沛沛 | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2018-10-16 |
| XIE Shengsi 謝聖思 | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2018-10-11 |
| LIU Tianjiao 劉天姣 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-10-03 |
| YANG Bojun 楊博俊 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2018-09-13 |
| RU Tao 茹濤 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2018-09-13 |
| ZHUANG Dong 莊東 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2018-09-11 |
| SHAO Yi 邵熠 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2018-09-11 |
| LIAO Yixing 廖逸星 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2018-09-11 |
| CHENG Liu 成柳 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2018-09-06 |
| PENG Kuijian 彭魁建 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-09-03 |
| XING Chongyang 邢重陽 | RE | 4 (Advising on Securities) | 2018-09-03 |
| LIU Zhenghao 劉征昊 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-09-03 |
| SHEN Luqing 沈盧慶 | RE | 4 (Advising on Securities) | 2018-08-27 |
| ZHANG Hua 張華 | RE | 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-08-23 |
| WU Lin Sheng 吳林聲 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-08-16 |
| HU Xisha 胡錫莎 | RO | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-08-13 |
| WU Junya 武俊雅 | RO | 1 (Dealing in Securities) | 2018-08-13 |
| WU Junya 武俊雅 | RE | 4 (Advising on Securities) | 2018-07-30 |
| CHAN Kai Tung, Clayton 陳啟東 | RE | 1 (Dealing in Securities) | 2018-07-23 |
| XIA Danning 夏丹宁 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-07-23 |
| HE Yanwei 何彥瑋 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-07-23 |
| DU Dan 杜丹 | RO | 1 (Dealing in Securities), 4 (Advising on Securities), 9 (Asset Management) | 2018-07-16 |
| LUO Yixin 羅藝鑫 | RE | 4 (Advising on Securities) | 2018-07-06 |
| YU Yi 余熠 | RE | 4 (Advising on Securities) | 2018-06-27 |
| XU Zijian 徐子健 | RE | 1 (Dealing in Securities) | 2018-06-08 |
| REN Jia 任佳 | RO | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2018-05-28 |
| QIU Tong 邱彤 | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2018-05-25 |
| TAO Ye 陶冶 | RE | 4 (Advising on Securities) | 2018-05-17 |
| NG Yu Chung 吳汝忠 | RE | 1 (Dealing in Securities) | 2018-05-03 |
| CHEN Jing 陳靜 | RO | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2018-04-20 |
| LIU Zhenghao 劉征昊 | RE | 4 (Advising on Securities) | 2018-04-09 |
| WANG Yi 王以 | RE | 4 (Advising on Securities) | 2018-03-27 |
| ZHANG Wei 張韋 | RE | 1 (Dealing in Securities) | 2018-03-21 |
| JIANG Xin 蔣欣 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2018-03-14 |
| HUANG Yue 黃玥 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2018-02-05 |
| ZHANG Dan 張丹 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2018-02-01 |
| JIANG Hao 姜浩 | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2018-01-17 |
| CHEN Liang 陳靚 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 4 (Advising on Securities) | 2018-01-15 |
| KOK Tung Wa, Cathy 郝冬樺 | RO | 9 (Asset Management) | 2017-12-29 |
| LI Jingshu 李京書 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2017-11-22 |
| WANG Lei 王磊 | RO | 2 (Dealing in Futures Contracts), 9 (Asset Management) | 2017-11-16 |
| KWOK Marcus Chun Kue | RE | 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-11-08 |
| DAI Yihang 戴一航 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 2 (Dealing in Futures Contracts) | 2017-10-26 |
| SUN Xiangxiao 孫祥霄 | RE | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2017-10-18 |
| XU Peizhi 徐培智 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2017-10-09 |
| LIU Ye 劉葉 | RE | 4 (Advising on Securities) | 2017-09-06 |
| KOK Tung Wa, Cathy 郝冬樺 | RE | 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 1 (Dealing in Securities) | 2017-08-04 |
| LU Cheng 呂程 | RE | 4 (Advising on Securities) | 2017-07-31 |
| SUN Shangyun 孫上雲 | RE | 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) | 2017-07-06 |
| YANG Ye 楊燁 | RE | 4 (Advising on Securities) | 2017-07-06 |
| LIU Ying 劉穎 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2017-06-28 |
| LIAO Shunrui 廖順睿 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2017-06-02 |
| HE Saiyi 賀賽一 | RE | 4 (Advising on Securities) | 2017-05-17 |
| ZHU Shirong 朱世融 | RO | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2017-05-11 |
| WANG Lei 王磊 | RO | 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) | 2017-04-28 |
| DAI Wen 代雯 | RE | 4 (Advising on Securities) | 2017-04-28 |
| SHI Xiaofeng 史晓峰 | RE | 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2017-04-26 |
| LEUNG Tat Pui 梁達培 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2017-03-09 |
| FU Wing Yan, Rebecca 傅穎欣 | RE | 2 (Dealing in Futures Contracts) | 2017-02-09 |
| LIN Zhixuan 林志軒 | RE | 4 (Advising on Securities) | 2017-01-27 |
| LIU Taojiang 劉濤江 | RO | 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2017-01-26 |
| LIN Xiaying 林霞穎 | RE | 4 (Advising on Securities) | 2017-01-16 |
| SHEN Xiaofeng 沈曉峰 | RE | 4 (Advising on Securities) | 2017-01-09 |
| LIN Shan 林珊 | RE | 4 (Advising on Securities) | 2016-11-29 |
| XU Zhan 徐湛 | RE | 4 (Advising on Securities) | 2016-11-22 |
| XU Zhan 徐湛 | RO | 1 (Dealing in Securities), 6 (Advising on Corporate Finance) | 2016-11-22 |
| YANG Xuan | RE | 4 (Advising on Securities) | 2016-07-06 |
| HO May Sam 何美心 | RO | 2 (Dealing in Futures Contracts), 1 (Dealing in Securities), 4 (Advising on Securities) | 2016-06-17 |
| LI Ka Yiu 李家耀 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2016-06-06 |
| HUI Shan 許珊 | RE | 1 (Dealing in Securities) | 2016-05-09 |
| GONG Jie 龚劼 | RE | 4 (Advising on Securities) | 2016-04-07 |
| ZHU Ping 祝萍 | RE | 4 (Advising on Securities) | 2016-03-22 |
| CHAN Cham Pong, Cedric 陳湛邦 | RE | 1 (Dealing in Securities) | 2015-11-24 |
| CHEUNG Hoi Shan 張海珊 | RO | 1 (Dealing in Securities), 4 (Advising on Securities) | 2015-11-23 |
| POON Joseph Chi Ho 潘之豪 | RE | 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) | 2015-06-22 |
| WONG Isaac James | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2015-04-02 |
| FAN Yunfeng 范云凤 | RO | 4 (Advising on Securities) | 2014-08-27 |
| WANG Qian 王茜 | RE | 6 (Advising on Corporate Finance) | 2014-08-20 |
| DING Er 丁爾 | RE | 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2014-08-15 |
| DING Er 丁爾 | RE | 1 (Dealing in Securities) | 2014-04-15 |
| GUAN Haiyan 關海燕 | RE | 4 (Advising on Securities) | 2013-09-16 |
| YIP Lee Na 葉莉娜 | RE | 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2013-05-30 |
| WANG Qian 王茜 | RE | 4 (Advising on Securities), 1 (Dealing in Securities) | 2013-01-24 |