SFC Licenceholders of CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司
- compliance@cmschina.com.hk
- Website
- www.cmschina.com.hk
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BAI Yu 白玉 | RE | 9 | 15 September 2015 | 20 March 2016 |
| BAI Yu 白玉 | RE | 4 | 15 September 2015 | 20 March 2016 |
| CAI Wenyuan 蔡文媛 | RE | 9 | 12 May 2009 | 03 July 2012 |
| CHAN Hung Ping 陳鴻平 | RE | 9 | 28 December 2011 | 20 June 2013 |
| CHAN Yim Yim 陳艷艷 | RO | 9 | 29 May 2014 | 17 March 2017 |
| CHAN Yim Yim 陳艷艷 | RE | 4 | 04 December 2013 | 03 August 2015 |
| CHAN Yim Yim 陳艷艷 | RE | 9 | 12 May 2009 | 29 May 2014 |
| CHANG Hui 常輝 | RE | 4 | 14 January 2013 | 11 December 2015 |
| CHANG Hui 常輝 | RO | 9 | 20 August 2014 | 11 December 2015 |
| CHANG Hui 常輝 | RE | 9 | 13 June 2011 | 20 August 2014 |
| CHAU Wing Hung 周永雄 | RE | 4 | 08 June 2021 | 25 May 2023 |
| CHAU Wing Hung 周永雄 | RE | 9 | 25 August 2021 | 25 May 2023 |
| CHEN Guqiao 陳谷喬 | RE | 9 | 12 May 2009 | 21 March 2010 |
| CHEN Tzu Yuan 陳資元 | RE | 4 | 08 April 2019 | 06 June 2019 |
| CHEN Tzu Yuan 陳資元 | RE | 9 | 08 April 2019 | 06 June 2019 |
| CHEN Wenzhi 陳文質 | RE | 9 | 21 February 2011 | 09 December 2015 |
| CHEN Xi 陳曦 | RE | 9 | 15 November 2018 | 26 July 2019 |
| CHEN Xi 陳曦 | RE | 4 | 15 November 2018 | 26 July 2019 |
| CHEN Yu 陳昱 | RE | 9 | 07 January 2022 | |
| CHEN Yu 陳昱 | RE | 4 | 07 January 2022 | |
| CHUNG Tat Yin 鍾達賢 | RE | 4 | 02 February 2018 | 20 April 2018 |
| CHUNG Tat Yin 鍾達賢 | RE | 9 | 02 February 2018 | 20 April 2018 |
| CHUNG Tat Yin 鍾達賢 | RO | 4 | 20 April 2018 | 31 August 2018 |
| CHUNG Tat Yin 鍾達賢 | RO | 9 | 20 April 2018 | 31 August 2018 |
| CUI Xueying 崔雪鶯 | RO | 4 | 04 November 2019 | 10 July 2020 |
| CUI Xueying 崔雪鶯 | RO | 9 | 04 November 2019 | 10 July 2020 |
| CUI Xueying 崔雪鶯 | RE | 4 | 23 October 2017 | 04 November 2019 |
| CUI Xueying 崔雪鶯 | RE | 9 | 23 October 2017 | 04 November 2019 |
| DING Michael B 丁宝奇 | RO | 9 | 26 September 2018 | 10 February 2021 |
| DING Michael B 丁宝奇 | RO | 4 | 26 September 2018 | 10 February 2021 |
| DONG Zimeng 董子銘 | RE | 9 | 10 December 2009 | 31 August 2011 |
| FENG Yu 豐羽 | RO | 9 | 31 March 2009 | 15 August 2011 |
| FENG Zhangpeng 馮張鵬 | RE | 9 | 11 March 2019 | 09 August 2019 |
| FENG Zhangpeng 馮張鵬 | RE | 4 | 11 March 2019 | 09 August 2019 |
| GAO Xiaoqi 高晓琪 | RE | 9 | 03 August 2021 | 13 August 2021 |
| GAO Xiaoqi 高晓琪 | RE | 4 | 03 August 2021 | 13 August 2021 |
| GUO Kaize 郭楷澤 | RE | 4 | 01 September 2020 | |
| GUO Kaize 郭楷澤 | RE | 9 | 01 September 2020 | |
| GUO Lin 郭璘 | RE | 4 | 14 June 2018 | 28 February 2019 |
| GUO Lin 郭璘 | RE | 9 | 14 June 2018 | 28 February 2019 |
| HAN Biao 韓彪 | RE | 9 | 16 October 2015 | 06 November 2019 |
| HAN Biao 韓彪 | RE | 4 | 16 October 2015 | 06 November 2019 |
| HAN Yiqiu 韓逸秋 | RO | 9 | 08 August 2011 | 20 February 2012 |
| HAN Yiqiu 韓逸秋 | RE | 9 | 02 February 2010 | 08 August 2011 |
| HE Zhong 何鐘 | RO | 4 | 01 February 2012 | 29 September 2017 |
| HE Zhong 何鐘 | RO | 9 | 11 August 2011 | 29 September 2017 |
| HO Pui Sze 何佩詩 | RO | 4 | 25 July 2023 | |
| HO Pui Sze 何佩詩 | RE | 9 | 20 April 2023 | 25 July 2023 |
| HO Pui Sze 何佩詩 | RE | 4 | 20 April 2023 | 25 July 2023 |
| HO Pui Sze 何佩詩 | RO | 9 | 25 July 2023 | |
| HUANG Danqing 黃丹青 | RE | 9 | 03 March 2014 | 13 March 2015 |
| HUANG Danqing 黃丹青 | RE | 4 | 03 March 2014 | 13 March 2015 |
| KUNG Wai Ting 龔偉廷 | RO | 4 | 30 April 2021 | 21 April 2023 |
| KUNG Wai Ting 龔偉廷 | RE | 9 | 09 February 2021 | 30 April 2021 |
| KUNG Wai Ting 龔偉廷 | RE | 4 | 09 February 2021 | 30 April 2021 |
| KUNG Wai Ting 龔偉廷 | RO | 9 | 30 April 2021 | 21 April 2023 |
| LAM King Yin 林京賢 | RE | 4 | 09 June 2021 | |
| LAM King Yin 林京賢 | RE | 9 | 09 June 2021 | |
| LAM Wan 林耘 | RE | 9 | 28 November 2013 | 19 December 2014 |
| LAM Wan 林耘 | RE | 4 | 28 November 2013 | 19 December 2014 |
| LAU Kwan Ho 劉君豪 | RE | 9 | 25 May 2010 | 29 September 2014 |
| LAW I Lung 羅錡龍 | RE | 9 | 21 May 2021 | 31 May 2021 |
| LAW I Lung 羅錡龍 | RE | 4 | 21 May 2021 | 31 May 2021 |
| LEUNG Jensen Wang Chun 梁宏俊 | RE | 9 | 07 October 2013 | 18 December 2015 |
| LEUNG Ping Tak, Peter 梁秉德 | RE | 9 | 09 February 2011 | 04 October 2013 |
| LEUNG Ping Tak, Peter 梁秉德 | RE | 9 | 02 February 2010 | 25 October 2010 |
| LI Mengmeng 李檬檬 | RE | 4 | 03 April 2023 | |
| LI Mengmeng 李檬檬 | RE | 9 | 03 April 2023 | |
| LI Qing 李青 | RO | 4 | 10 July 2017 | 25 April 2018 |
| LI Qing 李青 | RO | 9 | 10 July 2017 | 25 April 2018 |
| LI Qing 李青 | RE | 9 | 20 June 2014 | 10 July 2017 |
| LI Qing 李青 | RE | 4 | 20 June 2014 | 10 July 2017 |
| LI Shaoqing 李少卿 | RE | 9 | 24 February 2022 | 18 August 2023 |
| LI Shaoqing 李少卿 | RE | 4 | 24 February 2022 | 18 August 2023 |
| LI Zihao 李子豪 | RE | 4 | 15 November 2021 | 29 September 2023 |
| LI Zihao 李子豪 | RE | 9 | 15 November 2021 | 29 September 2023 |
| LIANG Ying 梁盈 | RE | 9 | 20 December 2010 | 17 April 2013 |
| LIN Jianyong 林劍勇 | RE | 9 | 26 February 2016 | 08 April 2016 |
| LIN Lidong 林立東 | RE | 9 | 07 March 2023 | |
| LIN Lidong 林立東 | RE | 4 | 07 March 2023 | |
| LIU Dongbo 劉東勃 | RO | 9 | 04 August 2017 | 30 August 2017 |
| LIU Dongbo 劉東勃 | RE | 9 | 28 March 2013 | 04 August 2017 |
| LU Gonglu 鲁公路 | RO | 9 | 23 June 2022 | 08 June 2023 |
| LU Gonglu 鲁公路 | RO | 4 | 23 June 2022 | 08 June 2023 |
| LU Gonglu 鲁公路 | RE | 9 | 23 June 2022 | 23 June 2022 |
| LU Gonglu 鲁公路 | RE | 4 | 23 June 2022 | 23 June 2022 |
| LUK Wai Kit 陸偉傑 | RE | 9 | 19 June 2009 | 03 August 2009 |
| LUO Jinming 羅錦明 | RE | 9 | 20 December 2010 | 30 June 2017 |
| MA Jingjing 馬晶晶 | RE | 9 | 04 March 2022 | 05 May 2022 |
| MA Jingjing 馬晶晶 | RE | 4 | 04 March 2022 | 05 May 2022 |
| MA Tian Bei 馬天蓓 | RE | 9 | 12 May 2009 | 03 August 2009 |
| MA Xiaowei 馬笑偉 | RE | 9 | 11 March 2019 | 01 April 2021 |
| MA Xiaowei 馬笑偉 | RE | 4 | 11 March 2019 | 01 April 2021 |
| MA Yanshu 馬硯姝 | RE | 4 | 24 May 2023 | |
| MA Yanshu 馬硯姝 | RE | 9 | 24 May 2023 | |
| MAN Sing Wa 文星華 | RE | 4 | 30 August 2017 | 25 June 2021 |
| MAN Sing Wa 文星華 | RE | 9 | 19 December 2016 | 25 June 2021 |
| MING Liang 明亮 | RE | 4 | 14 November 2018 | 08 March 2019 |
| MING Liang 明亮 | RE | 9 | 14 November 2018 | 08 March 2019 |
| MING Liang 明亮 | RO | 9 | 08 March 2019 | 21 October 2019 |
| MING Liang 明亮 | RO | 4 | 08 March 2019 | 21 October 2019 |
| NG Chi Ying, Jenny 吳致瑩 | RE | 9 | 23 September 2014 | 13 July 2018 |
| NG Chi Ying, Jenny 吳致瑩 | RE | 4 | 23 September 2014 | 13 July 2018 |
| NG Ean Kiam 黃延謙 | RO | 4 | 10 February 2014 | 10 May 2014 |
| NG Ean Kiam 黃延謙 | RO | 9 | 27 September 2010 | 10 May 2014 |
| NGAI Ching 倪晶 | RE | 9 | 08 August 2011 | 28 April 2013 |
| PAN Hao 潘昊 | RE | 4 | 30 August 2017 | 05 April 2018 |
| PAN Hao 潘昊 | RE | 9 | 28 June 2016 | 05 April 2018 |
| SHUM Wai Bill, Patrick 岑維標 | RO | 9 | 30 November 2009 | 30 September 2010 |
| SHUM Wai Bill, Patrick 岑維標 | RE | 9 | 18 September 2009 | 30 November 2009 |
| SUN Na 孫娜 | RO | 9 | 03 January 2017 | 18 April 2017 |
| SUN Na 孫娜 | RO | 4 | 01 February 2012 | 18 April 2017 |
| SUN Na 孫娜 | RE | 9 | 20 December 2010 | 03 January 2017 |
| TANG Jingjing 唐晶晶 | RE | 9 | 02 February 2016 | 15 December 2017 |
| TANG Jingjing 唐晶晶 | RE | 4 | 02 February 2016 | 15 December 2017 |
| TANG Yinan 唐軼南 | RO | 4 | 27 July 2018 | 23 March 2020 |
| TANG Yinan 唐軼南 | RE | 9 | 04 April 2018 | 27 July 2018 |
| TANG Yinan 唐軼南 | RE | 4 | 04 April 2018 | 27 July 2018 |
| TANG Yinan 唐軼南 | RO | 9 | 27 July 2018 | 23 March 2020 |
| TSANG Kwok Yuk 曾國鈺 | RE | 9 | 15 February 2016 | 07 July 2017 |
| TSANG Kwok Yuk 曾國鈺 | RE | 4 | 15 February 2016 | 07 July 2017 |
| TSUI Fung, Jack 徐鋒 | RO | 9 | 31 March 2009 | 08 January 2010 |
| WANG Long 王龍 | RE | 9 | 28 February 2019 | 12 July 2019 |
| WANG Long 王龍 | RE | 4 | 28 February 2019 | 12 July 2019 |
| WANG Peng 王鵬 | RO | 9 | 03 August 2017 | 01 June 2018 |
| WANG Peng 王鵬 | RO | 4 | 03 August 2017 | 01 June 2018 |
| WANG Peng 王鵬 | RE | 4 | 20 February 2012 | 03 August 2017 |
| WANG Peng 王鵬 | RE | 9 | 21 December 2011 | 03 August 2017 |
| WANG Yu 王玉 | RE | 4 | 18 September 2018 | 12 August 2019 |
| WANG Yu 王玉 | RE | 9 | 18 September 2018 | 12 August 2019 |
| WANG Yuxuan 王宇軒 | RE | 9 | 22 November 2013 | 14 December 2016 |
| WONG Chin Pang 黃展鵬 | RO | 9 | 12 January 2010 | 14 September 2010 |
| WONG Chin Pang 黃展鵬 | RE | 9 | 12 May 2009 | 12 January 2010 |
| WONG Ching Yi 王靜儀 | RE | 4 | 02 December 2013 | 22 February 2014 |
| WONG Ching Yi 王靜儀 | RE | 9 | 17 March 2011 | 22 February 2014 |
| WONG Hoi Ka 黃凱嘉 | RE | 9 | 03 May 2018 | 16 October 2018 |
| WONG Hoi Ka 黃凱嘉 | RE | 4 | 03 May 2018 | 16 October 2018 |
| WONG Lo Suen 黃璐旋 | RO | 4 | 01 February 2012 | 01 November 2013 |
| WONG Lo Suen 黃璐旋 | RO | 9 | 09 December 2010 | 01 November 2013 |
| WONG Lo Suen 黃璐旋 | RE | 9 | 25 August 2010 | 09 December 2010 |
| WONG Vivien 黃詠欣 | RE | 4 | 21 July 2020 | 28 August 2020 |
| WONG Vivien 黃詠欣 | RO | 9 | 28 August 2020 | 14 February 2022 |
| WONG Vivien 黃詠欣 | RO | 4 | 28 August 2020 | 14 February 2022 |
| WONG Vivien 黃詠欣 | RE | 9 | 21 July 2020 | 28 August 2020 |
| WONG Wing Yin, Fiona 黃穎研 | RO | 9 | 24 July 2020 | 30 August 2020 |
| WONG Wing Yin, Fiona 黃穎研 | RO | 4 | 24 July 2020 | 30 August 2020 |
| WONG Wing Yin, Fiona 黃穎研 | RE | 9 | 18 May 2020 | 24 July 2020 |
| WONG Wing Yin, Fiona 黃穎研 | RE | 4 | 18 May 2020 | 24 July 2020 |
| WU Rundong 鄔潤東 | RE | 9 | 29 November 2021 | 14 April 2022 |
| WU Rundong 鄔潤東 | RE | 4 | 29 November 2021 | 14 April 2022 |
| WU Xiao 吳筱 | RE | 9 | 08 June 2009 | 01 November 2010 |
| XU Zhenzhong 徐震中 | RE | 9 | 13 December 2010 | 08 October 2013 |
| YAN Kai Chi, Danny 甄啟智 | RE | 4 | 14 June 2018 | 07 September 2018 |
| YAN Kai Chi, Danny 甄啟智 | RE | 9 | 14 June 2018 | 07 September 2018 |
| YANG Fan 楊帆 | RO | 9 | 10 May 2018 | 17 April 2020 |
| YANG Fan 楊帆 | RO | 4 | 10 May 2018 | 17 April 2020 |
| YANG Fan 楊帆 | RE | 9 | 27 November 2013 | 10 May 2018 |
| YANG Fan 楊帆 | RE | 4 | 27 November 2013 | 10 May 2018 |
| YAU Chun Keung 邱鎮強 | RE | 9 | 04 June 2010 | 11 April 2011 |
| YEN Jong Ling 嚴中伶 | RO | 9 | 27 September 2010 | 03 January 2012 |
| YU Dalin 于大林 | RO | 9 | 02 May 2017 | 01 December 2017 |
| YU Dalin 于大林 | RE | 4 | 15 October 2012 | 04 December 2014 |
| YU Dalin 于大林 | RO | 4 | 04 December 2014 | 01 December 2017 |
| YU Dalin 于大林 | RE | 9 | 15 October 2012 | 02 May 2017 |
| YUAN Zhenting 袁禎廷 | RE | 9 | 28 February 2020 | 30 June 2021 |
| YUAN Zhenting 袁禎廷 | RE | 4 | 28 February 2020 | 30 June 2021 |
| YUNG Kim Keung 戎劍強 | RE | 9 | 19 July 2011 | 01 December 2011 |
| ZENG Fang 曾方 | RE | 9 | 16 March 2015 | 01 November 2017 |
| ZENG Fang 曾方 | RE | 4 | 16 March 2015 | 01 November 2017 |
| ZHAN Wenwen 詹文雯 | RO | 9 | 23 June 2017 | 08 January 2018 |
| ZHAN Wenwen 詹文雯 | RO | 4 | 23 June 2017 | 08 January 2018 |
| ZHAN Wenwen 詹文雯 | RE | 9 | 14 January 2013 | 23 June 2017 |
| ZHAN Wenwen 詹文雯 | RE | 4 | 14 January 2013 | 23 June 2017 |
| ZHANG Lixin 張立新 | RO | 4 | 27 May 2021 | |
| ZHANG Lixin 張立新 | RO | 9 | 27 May 2021 | |
| ZHANG Rui 張芮 | RO | 4 | 04 January 2021 | 26 November 2021 |
| ZHANG Rui 張芮 | RO | 9 | 04 January 2021 | 26 November 2021 |
| ZHANG Rui 張芮 | RE | 4 | 09 September 2020 | 04 January 2021 |
| ZHANG Rui 張芮 | RE | 9 | 09 September 2020 | 04 January 2021 |
| ZHANG Shuqi 章書琦 | RE | 4 | 13 February 2019 | 28 June 2019 |
| ZHANG Shuqi 章書琦 | RE | 9 | 13 February 2019 | 28 June 2019 |
| ZHAO Zefen 趙則芬 | RE | 9 | 15 January 2021 | 02 June 2022 |
| ZHAO Zefen 趙則芬 | RE | 4 | 31 December 2020 | 02 June 2022 |
| ZHENG Jiachuang 鄭嘉創 | RE | 4 | 24 September 2018 | 10 January 2020 |
| ZHENG Jiachuang 鄭嘉創 | RE | 9 | 24 September 2018 | 10 January 2020 |
| ZHOU Geng 周耿 | RO | 4 | 27 January 2022 | |
| ZHOU Geng 周耿 | RO | 9 | 27 January 2022 | |
| ZHOU Geng 周耿 | RE | 9 | 25 October 2021 | 27 January 2022 |
| ZHOU Geng 周耿 | RE | 4 | 25 October 2021 | 27 January 2022 |
| ZHU Jin 朱瑾 | RE | 9 | 04 May 2015 | 02 November 2017 |
| ZHU Jin 朱瑾 | RE | 4 | 04 May 2015 | 02 November 2017 |