Latest changes in SFC licensees

This page shows appointments (+) and cessations (-) in SFC licensees over the last 14 days. A licensee is either a Responsible Officer (RO) or Representative (Rep). We treat a person who holds both roles (in different activities) as an RO. We query the SFC database and update the tables regularly. A licensee is not necessarily a full-time employee and may have roles in more than 1 firm.

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Row Firm Licensee Role Appointed Ceased
1 ABCI ASSET MANAGEMENT LIMITED Ming Liang -Rep 2019-12-19 2020-04-02
2     +RO 2020-04-02
3 ABLE CAPITAL PARTNERS LIMITED Zee Helen -Rep 2020-02-26 2020-03-31
4     +RO 2020-03-31
5 ACTELLIGENT CAPITAL MANAGEMENT LIMITED Hou Changjie +Rep 2020-03-27
6 ADMIS Hong Kong Limited Leung Ka Chun (SFC:BPL750) +Rep 2020-03-30
7 AENEAS CAPITAL LIMITED Leung Chuen Yan (SFC:BOX366) -Rep 2020-01-15 2020-03-31
8 AJ Futures Limited Tang Jingchen -Rep 2019-08-12 2020-03-27
9     +RO 2020-03-27
10 All EverGreen Securities Limited Wong Vivian Yick Lam +Rep 2020-04-03
11 All-Stars Investment Limited Fu Mingxia -RO 2013-12-02 2020-03-31
12   Leung Cathy Wai Man -Rep 2019-09-10 2020-04-01
13 Alpha Quantum Capital Limited Woo Wing Yin +RO 2020-03-27
14 AlpInvest Partners Limited Chu Tsz Ying -Rep 2017-09-06 2020-04-01
15   Kang Mina -Rep 2018-11-29 2020-04-01
16   Yang Yiran (SFC:BKU216) -Rep 2019-05-30 2020-04-01
17 Ampere Partners Limited Cheng Jen-Chieh +Rep 2020-04-02
18 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) Deng Dian (SFC:ASK808) -RO 2015-04-15 2020-04-06
19 ANLLY ASSET MANAGEMENT LIMITED Au Ka Leung +RO 2020-04-08
20 Aon Securities (Hong Kong) Limited Yamamoto Shinji (SFC:BPK034) +RO 2020-04-01
21 Apollo Capital Management Limited Chen I-Ming +Rep 2020-04-06
22   Hsu Shih-Huang +Rep 2020-04-06
23 Architas Asia Limited Alrifai Zaid +RO 2020-04-06
24   Arguello Jaime Eduardo +RO 2020-04-06
25   Deschamps Nicolas Raymond Martial +RO 2020-04-06
26   Vo Mai Khanh +RO 2020-04-06
27 ARGYLE STREET MANAGEMENT LIMITED Chan Leo Yan Ho -Rep 2008-10-09 2020-04-02
28     +RO 2020-04-02
29 Ascent Capital Advisors Limited Harman Simon Devereux Clement -Rep 2019-01-23 2020-04-01
30 ASIA PACIFIC CAPITAL SECURITIES LIMITED Chung Paul Chun Kiu +Rep 2020-03-27
31 ASIA PACIFIC INVESTMENT ADVISORS LIMITED Pang Chi Ho +Rep 2020-03-31
32 ASIA PACIFIC SECURITIES LIMITED Tsang Kwun Kit -Rep 2020-02-13 2020-04-02
33     +RO 2020-04-02
34 Asia Research & Capital Management Limited Haque Yusuf Razaul -Rep 2012-02-03 2020-04-02
35     +RO 2020-04-02
36   Ngai Kevin -Rep 2017-08-03 2020-03-31
37 ASIAN CAPITAL LIMITED Lui Paul Ho Ming +RO 2020-04-03
38 ASPEN HILL PARTNERS (HONG KONG) LIMITED Lai Ka Ho +Rep 2020-04-01
39 ASSET MANAGEMENT GROUP LIMITED Ng Kim Wai -Rep 2017-03-13 2020-04-01
40 AVICT Global Asset Management Limited Peng Xia (SFC:BPM757) +Rep 2020-04-07
41 Baillie Gifford Asia (Hong Kong) Limited Li James Kong +Rep 2020-03-31
42 BaoQiao Partners Capital Limited Wang Anli -Rep 2018-11-05 2020-03-31
43 BARCLAYS CAPITAL ASIA LIMITED Chen Xuehua +Rep 2020-04-09
44   Ho Lek Yee -Rep 2010-03-10 2020-04-01
45   Hoi Zhi Lin Marvyn +Rep 2020-04-01
46 BARING ASSET MANAGEMENT (ASIA) LIMITED Downes Michael James (SFC:BDF595) -Rep 2017-08-14 2020-03-31
47 BCT Financial Limited Lam Ming Wai +Rep 2020-04-07
48 BEA Union Investment Management Limited So Man Yan -Rep 2010-12-06 2020-04-06
49 Beevest Securities Limited Fu Huihui +Rep 2020-03-30
50 BFAM Partners (Hong Kong) Limited Chen Hu (SFC:BMA461) -Rep 2019-03-18 2020-04-07
51   Drabkin Mark Thompson -Rep 2020-02-03 2020-03-31
52   Ghalayini Jamil -Rep 2019-11-15 2020-03-31
53   Greenberg Matthew Bailey -Rep 2019-09-13 2020-03-31
54   Guan Ying (SFC:AWQ675) +Rep 2020-04-01
55 BGC SECURITIES (HONG KONG) LLC Berkane Chiraz -Rep 2019-05-07 2020-03-31
56   Cheung Chung Yin (SFC:BNZ123) -Rep 2019-01-09 2020-03-31
57   Herbert Anthony John (SFC:BIL705) -Rep 2016-11-02 2020-03-30
58   Hill Victoria Margaret Nahathai -Rep 2019-05-17 2020-03-31
59   Hurst Nicola Carolyn -Rep 2009-02-17 2020-04-02
60   Kim Min Jung (SFC:BNC085) -Rep 2018-06-19 2020-03-31
61   Law Nga Ying -Rep 2008-02-25 2020-03-31
62   Lee Jonathan Pak San -Rep 2010-12-22 2020-03-31
63   Tlili Mourad -Rep 2018-09-21 2020-03-31
64 BlackRock Asset Management North Asia Limited Crawley Oisin Paul -Rep 2014-01-16 2020-03-31
65   Garland Benjamin Howard -Rep 2010-04-23 2020-03-27
66   Hickey Crystina Joy -Rep 2015-09-25 2020-03-31
67   Swan Andrew Warren -RO 2012-07-31 2020-04-02
68 Blue Lotus Capital Advisors Limited Zhang Jialin (SFC:AYM827) +Rep 2020-04-07
69 BOA MS Capital Limited Lau Hon Wai (SFC:ACI109) +Rep 2020-04-02
70 BOCHK Asset Management Limited Siu Yat Chi +Rep 2020-04-06
71   Zhu Beibei +Rep 2020-03-31
72 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Diu Chun Yin Clement +Rep 2020-04-08
73   Lau Kong Leong -Rep 2019-09-04 2020-04-04
74 BOCOM International (Asia) Limited Chen Hao (SFC:BGQ543) +Rep 2020-03-31
75   Jiao Qian -Rep 2018-03-23 2020-03-31
76   Wong Wing Yin (SFC:BLB617) +Rep 2020-03-27
77 BosValen Asset Management Limited Lau John Mak Ham -Rep 2014-12-31 2020-03-31
78 Boyu Capital Investment Management Co., Limited Xing Tianyou -Rep 2016-05-16 2020-03-31
79 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED Wong Chun Tung -Rep 2017-11-15 2020-03-31
80 BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED   -Rep 2017-11-15 2020-03-31
81 Broadshine Asset Management Limited Chang Ching-Kun -Rep 2019-12-03 2020-03-31
82 BUENA VISTA FUND MANAGEMENT (HK) LIMITED Li Mandy Fung Yee +Rep 2020-04-08
83 Canfield Securities Company Limited Wat Hin Pong -RO 2018-04-18 2020-03-31
84 CAPITAL FOCUS ASSET MANAGEMENT LIMITED Kwok Ka Yiu (SFC:ATD334) +Rep 2020-04-06
85 Capital International, Inc. Yau Siu Fung -Rep 2018-08-17 2020-03-31
86 CARLYLE HONG KONG EQUITY MANAGEMENT LIMITED Kang Mina +Rep 2020-04-02
87   Tian Yajing -Rep 2018-04-23 2020-03-28
88 CASH ASSET MANAGEMENT LIMITED Chan Benson Chi Ming -RO 2018-06-07 2020-03-27
89 CASH Wealth Management Limited   -RO 2018-06-07 2020-03-27
90   Yang Kwai Leung +Rep 2020-04-06
91 CCB INTERNATIONAL CAPITAL LIMITED Huang Ying (SFC:BNP292) -Rep 2019-02-27 2020-04-06
92 CCB INTERNATIONAL SECURITIES LIMITED Gong Yihan -Rep 2014-09-25 2020-04-04
93 CEB International Asset Management Corporation Limited Cheung Kwun Sing +Rep 2020-03-30
94 CEB International Capital Corporation Limited Wu Ka Chun -RO 2018-09-28 2020-03-30
95 CELESTIAL CAPITAL LIMITED Chan Benson Chi Ming -RO 2018-06-07 2020-03-27
96   Li Xueying (SFC:BPK181) -Rep 2020-03-23 2020-03-27
97 CELESTIAL COMMODITIES LIMITED Chan Benson Chi Ming -RO 2018-06-07 2020-03-27
98 CELESTIAL SECURITIES LIMITED   -RO 2018-06-07 2020-03-27
99   Chung Edward Chu Chi -Rep 2008-07-08 2020-03-30
100   Lau Chi Keung (SFC:ADV976) -Rep 2020-03-27
101 CENTRAL WEALTH ASSET MANAGEMENT LIMITED Tam Ho Yeung (SFC:ASZ119) -RO 2018-03-01 2020-04-03
102 CF ASSET MANAGEMENT LIMITED Chow Ka Man -Rep 2020-03-25 2020-03-31
103     +RO 2020-03-31
104 CF SECURITIES LIMITED   -Rep 2020-03-25 2020-03-31
105     +RO 2020-03-31
106 CGS-CIMB Securities (Hong Kong) Limited Sam Shook Fung (SFC:ADM712) -Rep 2017-03-17 2020-04-02
107     +RO 2020-04-02
108 Changjiang Securities Brokerage (HK) Limited Wei Shuyong -Rep 2019-01-29 2020-03-27
109 ChaoShang Securities Limited Ng Ka Yan (SFC:BAP994) -Rep 2017-12-06 2020-04-01
110 CHARTWELL CAPITAL LIMITED (HK) Chu Hin Chun -Rep 2016-10-04 2020-03-27
111 CHIEF SECURITIES LIMITED Wan Tak Hin +Rep 2020-04-01
112 China Asset Management (Hong Kong) Limited Lin Jinyi +Rep 2020-04-07
113 China Enterprise Securities Company Limited Ng Man (SFC:AHE192) +Rep 2020-04-02
114 CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED Huang Yao (SFC:AXX667) -Rep 2012-02-28 2020-03-31
115 CHINA EVERBRIGHT SECURITIES (HK) LIMITED Peng Fengyi -Rep 2016-04-08 2020-03-31
116 China Finance Holdings Limited Lai Chun To -RO 2017-07-07 2020-03-28
117 China Galaxy International Securities (Hong Kong) Co., Limited Tsui Chi Kuen Abe +Rep 2020-03-31
118 China High Growth Advisors Limited Chan Ka Kit (SFC:ATS061) -RO 2016-09-26 2020-03-31
119   Tse Annie Win Yee -Rep 2020-02-28 2020-04-03
120     +RO 2020-04-03
121 CHINA HONG KONG LINK ASSET MANAGEMENT LIMITED Ho Yin Ming -RO 2017-05-04 2020-04-10
122 CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED Chan Andy Tak Chun -Rep 2015-09-29 2020-04-05
123   Huang Hok On +Rep 2020-04-09
124   Ip Hon Tak -RO 2015-01-28 2020-03-31
125   Wang Hang (SFC:BGG247) -Rep 2019-01-28 2020-03-31
126   Wang Pinyue -Rep 2018-10-29 2020-03-27
127   Wu Zishan -Rep 2018-01-15 2020-04-05
128 CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED Ip Hon Tak -RO 2015-09-16 2020-03-31
129   Wu Zishan -Rep 2018-01-15 2020-04-05
130 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED Hu Di (SFC:BBD763) -Rep 2020-01-16 2020-04-07
131 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Cui Can (SFC:BPM918) +Rep 2020-03-31
132   Gao Zijun (SFC:BMT376) -Rep 2018-04-13 2020-04-03
133   Hu Di (SFC:BBD763) -Rep 2013-04-19 2020-04-07
134   Jiang Lijia -Rep 2018-06-19 2020-04-01
135   Sun Nan (SFC:ALR028) -Rep 2008-10-09 2020-04-01
136   Wang Ruguo +Rep 2020-03-31
137   Wang Xueyuan (SFC:BPM680) +Rep 2020-03-27
138 China Investment Securities International Futures Limited Yeung Tsan Ho -Rep 2017-10-17 2020-03-31
139   Yip Chin Ho +Rep 2020-04-02
140 CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED He Xuanlai -Rep 2017-04-03 2020-03-30
141     +RO 2020-03-30
142 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Cheng Kan Lik -RO 2019-04-03 2020-03-30
143   Shen Yichen -Rep 2018-11-21 2020-03-31
144   Yau Patrick (SFC:AFT664) -RO 2019-02-13 2020-03-30
145   Yeung Ka Ho (SFC:BOI246) -Rep 2019-04-29 2020-03-31
146 China PA Securities (Hong Kong) Company Limited Cheng Kong Wai -Rep 2019-12-11 2020-04-02
147     +RO 2020-04-02
148 China Renaissance Securities (Hong Kong) Limited Song Yang (SFC:AQJ814) +Rep 2020-03-30
149   Yao Yunge +Rep 2020-03-30
150 China Securities (International) Corporate Finance Company Limited Xiao Yuanqing -Rep 2016-06-10 2020-04-06
151   Yen George Chang Chi +RO 2020-03-31
152 China Tonghai Securities Limited Li Tim Yan Lilian +Rep 2020-04-06
153   Lin Xinxin -Rep 2018-01-04 2020-04-06
154   Liu Zhihong (SFC:AEC891) -RO 2018-07-26 2020-03-31
155 China Universal Asset Management (Hong Kong) Company Limited Wang Bo (SFC:BJO650) -Rep 2017-05-18 2020-03-31
156 CHINA XIN YONGAN FUTURES COMPANY LIMITED Lee Kai Ni +Rep 2020-04-01
157 CHONG HING SECURITIES LIMITED Wong Chin Pang (SFC:ACK102) +Rep 2020-04-03
158 CHOW SANG SANG SECURITIES LIMITED Chan Stephen Sze Yung -RO 2018-09-17 2020-04-03
159 CHUNG LEE SECURITIES COMPANY LIMITED Suen Ting Fong Boris +Rep 2020-04-01
160 CICC US Securities (Hong Kong) Limited Ho Jason Yuen Pang +Rep 2020-04-09
161 CIF Asset Management Limited Chan Tsz Kit (SFC:BEI582) +Rep 2020-04-01
162   Wang Eric Bing -RO 2017-09-27 2020-04-03
163 CIF Global Markets (HK) Limited Chan Chi Shing (SFC:AON830) -RO 2018-07-03 2020-03-30
164   Chan Chung Keung -Rep 2017-11-17 2020-03-30
165   Chan Tsz Kit (SFC:BEI582) -Rep 2018-04-26 2020-03-30
166   Ip Kar Kok -Rep 2018-05-10 2020-03-30
167   Kong Chi Ho (SFC:AXI329) -Rep 2018-05-11 2020-03-30
168   Lam Ho Kan -Rep 2019-04-12 2020-03-30
169   Lau Hoi Chi -Rep 2018-09-13 2020-03-30
170   Lau Kwun Shing -Rep 2017-10-25 2020-03-30
171   Lau Nim Cho -RO 2018-05-17 2020-03-30
172   Lin Chun Keung -Rep 2017-10-25 2020-03-30
173 CIFM Asset Management (Hong Kong) Limited Zhong Ming (SFC:BIH896) -Rep 2016-10-03 2020-04-01
174 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED Hou Linlin -Rep 2018-10-26 2020-04-01
175 CIS SECURITIES ASSET MANAGEMENT LIMITED Lee Ming Shui -Rep 2017-05-09 2020-04-06
176 Cithara Investment International Limited Zhu Guoji -Rep 2018-06-14 2020-03-31
177 CITIC Securities Brokerage (HK) Limited Wong Hau Yee (SFC:BPM733) +Rep 2020-03-27
178 Citigroup Global Markets Asia Limited Chen Ji (SFC:ANZ537) -Rep 2011-08-26 2020-04-03
179   Choi Yin On -Rep 2015-06-08 2020-04-07
180     +RO 2020-04-07
181   Han Jinsoo -Rep 2017-11-20 2020-03-27
182   Mao Wei (SFC:ATD879) +Rep 2020-03-30
183   Shang Yuxiao +Rep 2020-03-30
184 Clarity Investment Partners Limited Liang Danlin -Rep 2019-06-12 2020-04-03
185 CLSA Asset Management Limited Liu Guangming (SFC:BDD671) -RO 2017-03-17 2020-03-31
186 CLSA Capital Markets Limited Huang Xinyi (SFC:BOD558) +Rep 2020-03-31
187   Lin Joseph Tawei +Rep 2020-03-30
188 CLSA LIMITED Huang Xinyi (SFC:BOD558) +Rep 2020-03-31
189   Lee Kenneth Shon Kee +Rep 2020-04-06
190   Lin Joseph Tawei +Rep 2020-03-30
191 CMB International Asset Management Limited Lu David Tsz Hin +Rep 2020-04-03
192 CMB International Capital Limited Li Jingyi -Rep 2018-09-06 2020-03-31
193 CMB International Securities Limited   -Rep 2019-02-15 2020-03-31
194   Wen Chan-Chun +Rep 2020-03-27
195 CMBC ASSET MANAGEMENT COMPANY LIMITED Lee Chun Hong (SFC:BGQ365) +Rep 2020-03-30
196 CMBC SECURITIES COMPANY LIMITED Guang Ao +Rep 2020-03-30
197   Lee Chun Hong (SFC:BGQ365) +Rep 2020-03-30
198   Yao Xinchen +Rep 2020-04-09
199   Zhao Bowen +Rep 2020-04-06
200 CMS CAPITAL (HK) CO., LIMITED Zhou Chen (SFC:BPD879) -Rep 2019-12-04 2020-04-07
201     +RO 2020-04-07
202 CONVOY ASSET MANAGEMENT LIMITED Li Yau Tak +Rep 2020-03-31
203   Liu Yimei (SFC:BPM832) +Rep 2020-03-31
204   Lui Hoi Ching +Rep 2020-03-31
205   Wen Jiannan -Rep 2019-08-29 2020-03-30
206   Wong Chi Wa (SFC:BHG544) +Rep 2020-03-30
207   Wong Kai Yuen (SFC:BPN374) +Rep 2020-04-09
208   Xiong Dezhi +Rep 2020-03-30
209 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED Tam Sze Chuen -Rep 2016-07-01 2020-04-06
210 CORPORATE BROKERS LIMITED Chan Sun Wo -Rep 2005-01-25 2020-03-31
211   Lee Kit Man (SFC:ANG322) -Rep 2006-05-11 2020-03-31
212   Leung Paulina May Sheung -Rep 2020-03-31
213   Wong Anthony Chi Sing -Rep 2010-10-05 2020-03-31
214 CORPORATE COMMODITIES LIMITED Chan Sun Wo -Rep 2005-01-26 2020-03-31
215   Wong Anthony Chi Sing -Rep 2011-11-07 2020-03-31
216 Cosmos One Capital Limited Chan Wai Fung (SFC:AWT462) +RO 2020-04-02
217   Ng Christ Sau Wah +RO 2020-04-02
218 CR Wealth and Asset Management Limited Yao Yunge +Rep 2020-03-30
219 Credit Suisse (Hong Kong) Limited Au Yeung Shui Ying Cecilia +Rep 2020-04-02
220   Koh Boon Wee -Rep 2017-03-06 2020-03-31
221   Sim Jeong Soo -Rep 2014-08-11 2020-03-27
222   Sohn Amanda Yoo Jung +Rep 2020-04-02
223   Stephens John William -Rep 2020-01-22 2020-04-02
224     +RO 2020-04-02
225   Tan Michael Boon Suan -RO 2016-07-05 2020-04-02
226     +Rep 2020-04-02
227   Wang Pingping (SFC:AQI580) -Rep 2016-12-05 2020-03-31
228   Xiao Xiao (SFC:BKG598) -Rep 2017-08-07 2020-03-27
229   Yeoh Chye Chuan Eric -Rep 2018-03-07 2020-03-31
230 Credit Suisse Securities (Hong Kong) Limited Koh Boon Wee -Rep 2017-03-06 2020-03-31
231   Sohn Amanda Yoo Jung +Rep 2020-04-02
232 CSC FUTURES (HK) LIMITED Lin Chun-Yao +Rep 2020-03-30
233 CSC SECURITIES (HK) LIMITED Cao Wenqian +Rep 2020-04-09
234   Lai Tsung-Yu +Rep 2020-04-06
235 CSFG International Asset Management Limited Chen Daqi +Rep 2020-04-09
236 CSI Global Markets Limited Liu Guangming (SFC:BDD671) -Rep 2019-05-10 2020-03-31
237 CSOP Asset Management Limited Lu Yan (SFC:ARH429) -RO 2017-12-11 2020-04-01
238   Tao Tao (SFC:BMP526) -Rep 2018-03-27 2020-03-31
239 CVP Asset Management Limited Tung Chun Fai +Rep 2020-04-02
240 CVP Securities Limited Mimaki Hiroyuki +Rep 2020-03-27
241 Daiwa Capital Markets Hong Kong Limited Diao Enze +Rep 2020-04-06
242   Xu Manrui +Rep 2020-04-06
243 Dawn Capital Limited Wang Guanzhu -Rep 2020-01-20 2020-04-06
244     +RO 2020-04-06
245 De Riva Asia Limited Shiu Carmen Yin Man +Rep 2020-04-01
246   Shiu Kam Man +Rep 2020-04-01
247 DEUTSCHE SECURITIES ASIA LIMITED Joo Jihyun Katherine -Rep 2012-04-24 2020-03-30
248   Lee Andrew (SFC:BES685) -Rep 2015-01-02 2020-03-31
249   Li Cheng (SFC:BDT950) -Rep 2018-04-23 2020-03-27
250   Liu Chin Hang -Rep 2014-08-06 2020-03-31
251 DFA Capital Limited Buclez Francois Claude (SFC:APK381) -RO 2018-04-10 2020-03-31
252 DOLO FINANCIAL GROUP LIMITED Tsui Yuen Sha +RO 2020-03-30
253 Dongxing Securities (Hong Kong) Company Limited Chow Tin Pui +Rep 2020-04-03
254 DONVEX ASIA CAPITAL LIMITED Lee Javan Chung Shing -Rep 2019-03-18 2020-03-31
255 DONVEX CAPITAL LIMITED Kan Philip Siu Lun -Rep 2020-01-14 2020-03-30
256     +RO 2020-03-30
257 DOUBLE S CAPITAL LIMITED Yeung Niki Ning Ki +Rep 2020-04-06
258 DREAMS ASSET MANAGEMENT LIMITED Lo Deric Kin Yip -RO 2015-02-11 2020-04-01
259 DT Securities & Futures Co. Limited Yu Isaac Ngai Lung +Rep 2020-04-08
260 DWS Investments Hong Kong Limited Resovac Denis -Rep 2017-04-10 2020-03-31
261 Dymon Asia Capital (HK) Limited Liu Suyang -Rep 2017-03-28 2020-03-31
262 Eastspring Investments (Hong Kong) Limited Ho Ka Lun +Rep 2020-04-09
263 Eddid Securities and Futures Limited Chung Lai Kit +Rep 2020-03-31
264   Hung Chun Kit (SFC:BCU325) -Rep 2019-06-18 2020-03-31
265     +RO 2020-03-31
266   Li Mengru (SFC:BNS481) +Rep 2020-03-31
267 EFM ASSET MANAGEMENT LIMITED Deng Simiao +Rep 2020-04-09
268 ELLIOTT ADVISORS (HK) LIMITED Lai Michael -Rep 2016-06-28 2020-03-30
269   Smith James Nicholas Barrie -Rep 2019-10-31 2020-04-03
270 ELLIS BRADY MANAGEMENT (HONG KONG) LIMITED Ellis Roger Peter Frederick -RO 2006-10-31 2020-03-31
271 ELSTONE CAPITAL LIMITED Chow King Yue Vision -Rep 2018-09-24 2020-03-31
272   Liu Chuen Fai Jeffy -Rep 2018-08-24 2020-03-31
273 Emperio Securities And Assets Management Limited Fung Koon Yan +Rep 2020-03-31
274   Mao Lei +Rep 2020-04-07
275   Ng Yin Lam (SFC:AGK085) +Rep 2020-03-31
276   Wong Chi-Kit (SFC:BBM642) +Rep 2020-03-30
277   Wong Chung Wai (SFC:BFU185) +Rep 2020-04-09
278 ENHANCED INVESTMENT PRODUCTS LIMITED McCabe Andrew Robert (SFC:AWZ008) -Rep 2018-08-17 2020-03-31
279 Essence Corporate Finance (Hong Kong) Limited Chan Man Ling Joyce -Rep 2019-09-17 2020-04-09
280     +RO 2020-04-09
281 EUTO ASSET MANAGEMENT LIMITED Law Viola Fung Ling -RO 2019-05-07 2020-04-10
282   Lee Katherine Wai Kuen +Rep 2020-04-06
283 Ever-Long Futures Limited Tsang Kwong Hing +Rep 2020-04-03
284 EVER-LONG SECURITIES COMPANY LIMITED Cheung Wilson Kin -RO 2016-06-16 2020-03-31
285   Ng Shun Fu -RO 2020-03-31
286   Tsang Kwong Hing +Rep 2020-04-03
287 Evercore Asia Limited Yung Keen Ming -Rep 2019-01-14 2020-03-27
288 Evergrande Securities (Hong Kong) Limited Zhou Yiming (SFC:BNG180) -Rep 2019-11-01 2020-04-03
289 ExodusPoint Capital Management Hong Kong, Limited Sweeney Kirk Chester +Rep 2020-04-02
290 FAIR CAPITAL MANAGEMENT LIMITED Ho Wang Wai -RO 2019-07-16 2020-03-31
291 FAIRY AMBITION LIMITED Lau Chun Tung (SFC:AWB700) -Rep 2019-08-20 2020-04-01
292 Fengde Capital Limited Choi Hiu Ting +Rep 2020-04-08
293 FIL Investment Advisors Rikkerink Henk Jan -RO 2018-06-21 2020-04-06
294 FIL Investment Management (Hong Kong) Limited Fung Michele Miu Ting -Rep 2006-10-31 2020-03-31
295   Rikkerink Henk Jan -RO 2018-06-21 2020-04-06
296 FIRST BEIJING INVESTMENT LIMITED Fan Changxiang -RO 2018-07-30 2020-03-31
297 FIRST SHANGHAI FUTURES LIMITED Ho Jonathan Chun Yu +Rep 2020-04-07
298   Lee Chun Hung -Rep 2018-11-13 2020-04-03
299 FIRST SHANGHAI SECURITIES LIMITED Huang Haici +Rep 2020-04-08
300   Lee Chun Hung -Rep 2018-11-13 2020-04-03
301   Qu Jiayi +Rep 2020-04-08
302 FITCH (HONG KONG) LIMITED Hui Wai Hay +Rep 2020-03-30
303   Wang Yue (SFC:BJD659) +Rep 2020-04-09
304 FORTUNE (HK) SECURITIES LIMITED Wong Pui Wan (SFC:AWL858) -Rep 2018-05-10 2020-04-01
305 Fortune Asset Management Limited   -Rep 2018-05-10 2020-04-01
306 Fosun Hani Securities Limited Ng Wing Tai +Rep 2020-04-07
307   Wong Mei Sze (SFC:ATY711) -Rep 2017-06-13 2020-04-08
308 FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED He Tianzhong +Rep 2020-04-01
309 FOUNDER FUTURES (HONG KONG) LIMITED Gao Fang (SFC:BNY749) -Rep 2019-06-26 2020-04-01
310   Ip Hon Tak +Rep 2020-04-07
311   Zhuang Wei (SFC:BCE948) +Rep 2020-04-06
312 FOUNDER SECURITIES (HONG KONG) LIMITED Gao Fang (SFC:BNY749) -RO 2019-09-24 2020-04-01
313   Ip Hon Tak +Rep 2020-04-07
314   Ma Shuting -Rep 2019-12-10 2020-03-28
315   Zhuang Wei (SFC:BCE948) +Rep 2020-04-06
316 FRONTIER CAPITAL MANAGEMENT LIMITED (HK) Chan Kin Ho (SFC:BPK615) +Rep 2020-03-31
317 FULBRIGHT FUTURES LIMITED Poon Lai Man -Rep 2020-03-11 2020-04-02
318 FULBRIGHT SECURITIES LIMITED   -Rep 2020-03-11 2020-04-02
319 FULL HOUSE ASSET MANAGEMENT COMPANY LIMITED Ho Jeffrey Chi Hang -RO 2017-08-03 2020-03-31
320 GaoTeng Global Asset Management Limited Wang Shuhua (SFC:BJC950) +Rep 2020-03-27
321 GATEWAY CAPITAL (HONG KONG) LIMITED Chan Lionel Chun Yan -Rep 2017-05-08 2020-04-05
322 GF Asset Management (Hong Kong) Limited Ding Hanying +Rep 2020-04-01
323 GF Capital (Hong Kong) Limited Chow Tsz Kit Vincent -Rep 2018-01-09 2020-04-06
324 GF International Investment Management Limited Peng Siyu -Rep 2018-04-03 2020-04-01
325 GF Securities (Hong Kong) Brokerage Limited Cheng Chia-Yi +Rep 2020-03-31
326   Chow Tsz Kit Vincent -Rep 2018-10-30 2020-04-06
327 GFI (HK) SECURITIES L.L.C. Berkane Chiraz +Rep 2020-04-01
328   Cheung Chung Yin (SFC:BNZ123) +Rep 2020-04-01
329   Kim Min Jung (SFC:BNC085) +Rep 2020-04-01
330   Law Nga Ying +Rep 2020-04-01
331   Lee Jonathan Pak San +Rep 2020-04-01
332   Tlili Mourad +Rep 2020-04-01
333 GL China Equity HK Management Limited Sun Fengqiang -RO 2019-01-17 2020-03-27
334 GLOBAL MASTERMIND ASSET MANAGEMENT LIMITED Man Elton Kong Yui -RO 2017-08-25 2020-04-01
335 GLOBAL MASTERMIND FUTURES LIMITED   -RO 2018-05-08 2020-04-01
336 GLOBAL MASTERMIND SECURITIES LIMITED   -RO 2017-08-25 2020-04-01
337 Glory Sun Securities Limited Chan Frank Hong Ming +Rep 2020-04-01
338   Hsu Shih-Huang -Rep 2015-09-15 2020-03-31
339 GLY CAPITAL MANAGEMENT LIMITED Lai Shengnan -Rep 2019-07-24 2020-03-27
340 GMO-Z.com Forex HK Limited Wong Kin Ming (SFC:ACS342) +Rep 2020-03-30
341 GOLDEN HILL INVESTMENT COMPANY LIMITED Ting Irene Wai Ying -RO 2013-09-02 2020-04-07
342 GOLDENWAY INVESTMENTS (HK) LIMITED Lui Korman Cho Mau -RO 2016-03-02 2020-03-27
343 GOLDMAN SACHS (ASIA) L.L.C. Cui Wei (SFC:BLW939) -Rep 2018-08-14 2020-04-02
344   Dong Yinfei -Rep 2016-06-13 2020-03-31
345   Kumar Ajay (SFC:ARN358) -Rep 2012-05-25 2020-03-28
346   Narayanan Arvind -Rep 2016-07-29 2020-04-01
347   Wang Shuyi (SFC:BOR746) -Rep 2019-08-09 2020-03-28
348   Zhang Chibin -Rep 2019-08-23 2020-03-27
349 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Cui Wei (SFC:BLW939) -Rep 2018-08-16 2020-04-02
350   Kumar Ajay (SFC:ARN358) -Rep 2016-10-11 2020-03-28
351   Narayanan Arvind -Rep 2016-10-11 2020-04-01
352   Zhang Chibin -Rep 2019-08-23 2020-03-27
353 Goldwin Global Capital Limited Chu Siu Ling +Rep 2020-04-02
354 Grand Capital Futures Limited Chau Lai Ping +Rep 2020-04-01
355 Grand Capital Securities Limited   +Rep 2020-04-01
356 GRAND PARTNERS INVESTMENT CONSULTANTS LIMITED Tam Arthur Kin Man -RO 2017-11-07 2020-03-27
357 GRAND PARTNERS SECURITIES LIMITED   -RO 2017-06-29 2020-03-27
358 Great Wall Pan Asia Asset Management Limited Dong Yunyu +Rep 2020-04-03
359 Green Park Corporate Finance Co., Limited Deng Yuqun -Rep 2018-11-26 2020-03-31
360 Green Park Financial Co., Limited   -Rep 2019-05-24 2020-03-31
361 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED Lo Philip Chung Ho -Rep 2019-01-09 2020-04-01
362 GUOTAI JUNAN CAPITAL LIMITED Zhou Pei (SFC:BPM792) +Rep 2020-03-27
363 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED Ho Kenny Yui Kwong -Rep 2019-09-11 2020-04-06
364     +RO 2020-04-06
365 GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED Cheung Kin Wah (SFC:AAD570) -Rep 2019-09-09 2020-04-05
366   Ho Kenny Yui Kwong -Rep 2019-09-11 2020-04-06
367     +RO 2020-04-06
368   Ren Tingting (SFC:BPM216) +Rep 2020-03-27
369   Wong Vincent Kwok Lai +Rep 2020-03-27
370   Yuen David Ka Lok -Rep 2016-03-10 2020-03-31
371   Zhou Yulong (SFC:BPB475) +Rep 2020-04-06
372 GUOYUAN CAPITAL (HONG KONG) LIMITED Li Wai Kuen -RO 2014-10-30 2020-03-31
373 HAITONG INTERNATIONAL CAPITAL LIMITED Li Kefei +Rep 2020-04-08
374   Ye Rong (SFC:BCY469) +Rep 2020-04-01
375 HAITONG INTERNATIONAL FUTURES LIMITED Au Sen Ming Samuel -Rep 2018-04-20 2020-04-05
376   Bao Wenjia -Rep 2017-08-21 2020-04-04
377   Tsang Kwong Hing -Rep 2019-09-12 2020-04-01
378 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Au Sen Ming Samuel -Rep 2018-04-20 2020-04-05
379   Bao Wenjia -Rep 2017-08-21 2020-04-04
380   Li Kefei +Rep 2020-04-08
381   Tsang Isabella Man Shan +Rep 2020-04-02
382   Tsang Kwong Hing -Rep 2019-09-12 2020-04-01
383   Ye Rong (SFC:BCY469) +Rep 2020-04-01
384 HakuCapital Global Investment Advisers Limited Campbell Job Ezra -Rep 2019-10-10 2020-03-31
385   Stanley Robert Charles -Rep 2019-10-15 2020-03-31
386 Hang Tang International Capital Management Limited Suen Man Kit -Rep 2019-12-20 2020-04-07
387 Hao Tian Asset Management Limited Lai Vincent Wai Chung +RO 2020-04-03
388   Zheng Li (SFC:BNI087) +RO 2020-03-27
389 Hermitage Capital HK Limited Wong Simon Hin Wing +Rep 2020-03-30
390 HEUNGKONG CAPITAL LIMITED Fung Sik Lun -Rep 2020-03-05 2020-04-02
391     +RO 2020-04-02
392 HK NOBLE SKY TREASURE SECURITIES LIMITED Ku Leung Chi -Rep 2015-12-14 2020-04-03
393 HOLOGRAM CAPITAL LIMITED Law Ming Fan -Rep 2018-11-12 2020-04-01
394 Houlihan Lokey (China) Limited Wilson Jeff Downing -RO 2011-10-24 2020-03-31
395 HSBC BROKING FOREX (ASIA) LIMITED Yip Man Fei +Rep 2020-04-03
396 HSBC Corporate Finance (Hong Kong) Limited Cheung Chun Ki -Rep 2017-08-03 2020-03-30
397   Xu Yunzhi +Rep 2020-04-07
398 HSBC Global Asset Management (Hong Kong) Limited Cheung Fuk Shing +Rep 2020-04-03
399   Hong Alfred +Rep 2020-04-03
400   Law Vanessa Cheuk Yan +Rep 2020-03-27
401 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Cheung Fuk Shing +Rep 2020-04-03
402   Hong Alfred +Rep 2020-04-03
403   Law Vanessa Cheuk Yan +Rep 2020-03-27
404 HSBC SECURITIES BROKERS (ASIA) LIMITED Mrosek Martin Andreas -Rep 2008-03-17 2020-03-30
405     +RO 2020-03-30
406 Hua Liang Securities Limited Shum Hon Wo +Rep 2020-03-27
407 HUA NAN SECURITIES (HK) LIMITED Cheung Tak Yin -Rep 2010-02-08 2020-03-31
408 Huabang Securities Limited Liu Qiaosong +RO 2020-04-08
409 Huarong International Securities Limited Lin Ruohan +Rep 2020-03-31
410 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Huang Jiamin +Rep 2020-04-06
411   Yun Jing (SFC:BPN086) +Rep 2020-04-09
412 HUNG SING ASSET MANAGEMENT LIMITED Cao Fengqiao +Rep 2020-04-07
413 I-ACCESS INVESTORS LIMITED Leung Chun Bong -RO 2005-07-13 2020-04-06
414 iCapital Advisory Limited Mak Eugene Wan Yan -Rep 2019-11-20 2020-04-03
415     +RO 2020-04-03
416 ICBC Asset Management (Global) Company Limited Tang Ho Ming Edmond -Rep 2019-02-13 2020-03-31
417   Zhang Chao (SFC:BLC114) +Rep 2020-04-06
418 ICBC Credit Suisse Asset Management (International) Company Limited Chen Han (SFC:BPL438) +Rep 2020-04-07
419 iFAST Platform Services (HK) Limited Lee Ching Hang +Rep 2020-04-02
420   Zhou Ye (SFC:BJI784) -Rep 2019-11-18 2020-03-31
421 iFAST Securities (HK) Limited Hung Norasco Yu Nam -Rep 2020-04-03
422 Impression Investment Limited Lam Hiu Ling +Rep 2020-04-06
423 INDUS CAPITAL ADVISORS (HONG KONG) LIMITED Fujisaki Daisuke -Rep 2010-09-01 2020-04-03
424     +RO 2020-04-03
425 INFINI CAPITAL MANAGEMENT LIMITED Ho Ho +Rep 2020-04-09
426 INNOVAX CAPITAL LIMITED Chen Pinzhu -Rep 2018-03-12 2020-04-04
427 Innovest Asset Management Limited Ho Hoe Kay +Rep 2020-04-09
428 Innovest Securities Investment Limited   +Rep 2020-04-09
429 INSTINET PACIFIC LIMITED Mui Yu Yuk -Rep 2015-09-07 2020-03-30
430 INTERMEDIATE CAPITAL ASIA PACIFIC LIMITED Tan Chong Jin -Rep 2014-06-06 2020-03-31
431 INVESCO HONG KONG LIMITED Wong Ka Shing (SFC:AOY331) -Rep 2019-07-15 2020-04-03
432     +RO 2020-04-03
433 IPP FINANCIAL ADVISERS LIMITED Chan Kwun Fung (SFC:BLK486) -Rep 2017-12-05 2020-03-31
434 Ishana Capital Limited Beddard Henry Terence +Rep 2020-03-27
435 J.P. MORGAN BROKING (HONG KONG) LIMITED Kwok Fung Kiu (SFC:BPM164) +Rep 2020-04-01
436   Xi Xinchan +Rep 2020-04-01
437   Yan Yichen -Rep 2019-12-10 2020-03-31
438 J.P. MORGAN SECURITIES (FAR EAST) LIMITED Yu Kaiyuan +Rep 2020-03-27
439 Jefferies Hong Kong Limited Gordon Thomas Lee Jr. -Rep 2016-01-27 2020-03-31
440   Ra Hye Rin +Rep 2020-03-30
441   Tang Ruyi +Rep 2020-04-09
442 JENERATION CAPITAL ADVISORS (HONG KONG) LIMITED Li Yichao -Rep 2018-04-24 2020-03-31
443 JMC Capital HK Limited Gao Yingjie +Rep 2020-04-03
444   Zheng Yi (SFC:BPK769) +Rep 2020-03-30
445 JMC Futures Investment HK Limited Gao Yingjie +Rep 2020-04-03
446 JPMorgan Asset Management (Asia Pacific) Limited Xu Dan (SFC:BFB174) +Rep 2020-03-27
447 JPMorgan Funds (Asia) Limited Qiu Yongyi -Rep 2019-09-30 2020-04-01
448 JS FUTURES LIMITED Huang Wei (SFC:BLL815) -Rep 2017-11-15 2020-04-01
449 K.K.M. SECURITIES LIMITED Tam Ying Mary +Rep 2020-04-08
450 Kaisa Asset Management Limited Wang Jian (SFC:AVM361) -Rep 2020-03-26 2020-04-06
451 Kaisa Financial Group Company Limited   -Rep 2020-03-26 2020-04-06
452 KAISER CAPITAL MANAGEMENT LIMITED Yip Ming Kwan -RO 2019-10-09 2020-04-01
453 KARL THOMSON INVESTMENT CONSULTANTS LIMITED Wong Lawrence Kwok Keung -Rep 2020-03-26 2020-03-31
454     +RO 2020-03-31
455 KARL-THOMSON SECURITIES COMPANY LIMITED   +RO 2020-03-31
456 KEYWISE CAPITAL MANAGEMENT (HK) LIMITED Jiang Longlong -RO 2019-06-24 2020-03-31
457 KGI ASIA LIMITED Chan Kwok Ho (SFC:AIC245) -Rep 2017-10-03 2020-03-28
458   Cheung Tung Mui -Rep 2017-10-03 2020-03-27
459   Chow Po Kan -Rep 2017-11-08 2020-04-07
460   Lam Andrew King Sun -Rep 2017-10-03 2020-04-07
461   Leong U Weng +Rep 2020-04-01
462   Leung Chuen -Rep 2017-10-03 2020-04-01
463   Liu Kenny Ka Ho -Rep 2019-01-21 2020-03-28
464   Ma Wing Lin -Rep 2017-10-03 2020-03-28
465   Ng Mang Ming -Rep 2017-10-03 2020-03-28
466   Tam Ka Kin (SFC:BAA281) -Rep 2017-10-03 2020-04-02
467   Yeung Freddy Sze Ho -Rep 2017-10-03 2020-03-31
468   Yu Chun Wai (SFC:AWL989) +Rep 2020-03-30
469   Yue Terence Man Chun -Rep 2017-10-03 2020-03-29
470 KGI CAPITAL ASIA LIMITED Chung Chi Hang (SFC:BIA002) -Rep 2017-06-14 2020-04-01
471 KGI FUTURES (HONG KONG) LIMITED Leong U Weng +Rep 2020-04-01
472   Liu Kenny Ka Ho -Rep 2019-01-21 2020-03-28
473   Ng Mang Ming -Rep 2017-06-19 2020-03-28
474   Yue Terence Man Chun -Rep 2011-09-14 2020-03-29
475 KILMOREY ASSET MANAGEMENT LIMITED Chu Hon Kit -Rep 2020-01-07 2020-04-02
476     +RO 2020-04-02
477   Xu Lingyan -Rep 2019-11-26 2020-04-01
478 King Wai Asset Management Company Limited Sun Ge -Rep 2020-03-02 2020-03-31
479     +RO 2020-03-31
480 KINGKEY ASSET MANAGEMENT LIMITED Lee Desmond Kin Man +Rep 2020-04-03
481 Kings International Financial Services Limited Cheung Pui Ka Shelley -Rep 2016-08-04 2020-03-31
482   Luk Wai Tat +Rep 2020-03-30
483   Yang Ying (SFC:BIY483) -Rep 2017-03-13 2020-04-06
484 KINGSWAY CAPITAL LIMITED Wong Chak Sang +Rep 2020-04-09
485 KINGSWAY FINANCIAL SERVICES GROUP LIMITED   +Rep 2020-04-09
486 KO'S BROTHER SECURITIES COMPANY LIMITED Fung Pui Pui -Rep 2003-07-08 2020-04-09
487   Lam Chong Man -Rep 2003-07-08 2020-04-06
488   Luk Yim Ling (SFC:AGD556) -Rep 2003-07-08 2020-04-06
489   Ng Tin Yau (SFC:AAB239) -Rep 2003-07-08 2020-04-09
490 KWAI HUNG SECURITIES COMPANY LIMITED Lam Kit Hing -Rep 2020-03-31
491   Lau Chi Toa -Rep 2020-03-31
492   Ng Mi Fong -Rep 2020-03-31
493 LAMTEX SECURITIES LIMITED Yung Ka Cheung -Rep 2020-01-20 2020-03-27
494     +RO 2020-03-27
495 LGT INVESTMENT MANAGEMENT (ASIA) LIMITED Techasomboon Dollapon -Rep 2019-07-17 2020-04-07
496 LMR Partners Limited Constantinescu Clara-Andreea -Rep 2019-11-25 2020-04-07
497 LOMBARD ODIER (HONG KONG) LIMITED Yeh Ivan Hanson Shing Yue -Rep 2019-05-16 2020-04-03
498 Long Corridor Asset Management Limited Siu Michael Yiu Han -Rep 2020-02-19 2020-04-07
499     +RO 2020-04-07
500 Lu International (Hong Kong) Limited Xu Xu (SFC:AVL306) -Rep 2020-02-28 2020-04-07
501     +RO 2020-04-07
502 LUK FOOK FUTURES (HK) LIMITED Kee Sau Kam -Rep 2015-02-16 2020-03-31
503   Lai Chung-Chih -Rep 2019-12-03 2020-03-31
504 LUK FOOK SECURITIES (HK) LIMITED Kee Sau Kam -Rep 2015-02-16 2020-03-31
505   Lai Chung-Chih -Rep 2019-12-03 2020-03-31
506 MaiCapital Limited Jeong Joseph Chu +Rep 2020-04-02
507   Ko Seongjun -Rep 2019-12-18 2020-03-27
508 Manulife Investment Management (Hong Kong) Limited Chan Yiu Wing (SFC:AIJ518) +Rep 2020-03-27
509   Li Sek Fu -Rep 2020-01-13 2020-04-01
510     +RO 2020-04-01
511   Wee Liang Sin -Rep 2018-09-26 2020-03-30
512   Wu Chi Tse -Rep 2015-06-18 2020-03-31
513 Mason Futures Limited (HK) Cheung Ka Man (SFC:BFZ630) -Rep 2018-05-16 2020-03-27
514   Ting Sai Man -RO 2017-12-05 2020-03-27
515 MASON INVESTMENT MANAGEMENT LIMITED Qiao Yong -Rep 2019-02-13 2020-04-03
516   Yi Na (SFC:BBK313) -Rep 2018-04-03 2020-03-27
517 Mason Securities Limited Cheung Ka Man (SFC:BFZ630) -Rep 2018-05-16 2020-03-27
518   Qiao Yong -Rep 2019-02-13 2020-04-03
519   Ting Sai Man -Rep 2018-06-20 2020-03-27
520   Yi Na (SFC:BBK313) -Rep 2017-08-21 2020-03-27
521 Mayfair & Ayers Financial Group Limited Ho Siu Lam Timothy +Rep 2020-04-07
522 MCP Asset Management Company Limited Hayashi Masakatsu -Rep 2012-02-22 2020-03-31
523   Suzuki Akira -Rep 2012-05-24 2020-03-31
524 Merrill Lynch (Asia Pacific) Limited Guo Yijun -RO 2019-07-04 2020-04-01
525   Qiu Xu +Rep 2020-04-01
526   Sy Archibald Munoz -Rep 2017-10-16 2020-03-31
527   Zhao Yuanyuan (SFC:BPL711) +Rep 2020-04-01
528 Merrill Lynch Far East Limited Guo Yijun -RO 2019-07-04 2020-04-01
529   Qiu Xu +Rep 2020-04-01
530   Sy Archibald Munoz -Rep 2017-10-16 2020-03-31
531   Zhao Yuanyuan (SFC:BPL711) +Rep 2020-04-01
532 Metropoly Capital (HK) Limited Wong Wing Lam (SFC:BPK646) +Rep 2020-03-30
533 Mighty Divine Investment Management Limited Li Jingyi (SFC:BGH363) -Rep 2019-09-27 2020-03-31
534 Mintai Asset Management Limited Ho Ryan Cheuk Hang +RO 2020-04-02
535   Poon To Sing -RO 2018-11-27 2020-04-03
536 MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED Cho Wanyoun -RO 2013-04-25 2020-03-31
537   Kartha Harish Ramachandran -Rep 2018-01-22 2020-03-30
538     +RO 2020-03-30
539 Mirae Asset Securities (HK) Limited Liew Ching San +Rep 2020-04-06
540 MIZUHO SECURITIES ASIA LIMITED Ota Yuma -Rep 2019-08-06 2020-04-01
541 MOELIS & COMPANY ASIA LIMITED Goh Ping Hao -Rep 2018-06-05 2020-03-27
542 Moody's Investors Service Hong Kong Limited Knowd Graeme David -Rep 2019-10-28 2020-03-30
543   Lyu Zheng (SFC:BPK523) +Rep 2020-04-03
544 Morgan Stanley Asia Limited Bonifant Patrick Clark-Hall -Rep 2014-06-16 2020-03-27
545     +RO 2020-03-27
546   Govind Eric Rishi -Rep 2019-08-16 2020-04-02
547     +RO 2020-04-02
548   Li To Wai -Rep 2011-09-28 2020-04-01
549   Mashall Mary Susanna -Rep 2009-03-26 2020-03-30
550   Sui Zhenhuan +Rep 2020-04-03
551   Xia Wei (SFC:BFD770) +Rep 2020-04-06
552 Morgan Stanley Hong Kong Securities Limited Bonifant Patrick Clark-Hall -Rep 2014-06-16 2020-03-27
553     +RO 2020-03-27
554   Govind Eric Rishi -Rep 2019-08-16 2020-04-02
555     +RO 2020-04-02
556   Sui Zhenhuan +Rep 2020-04-03
557   Xia Wei (SFC:BFD770) +Rep 2020-04-06
558 Morningstar Investment Management Asia Limited Chalk Nicholas Gyles Edward -Rep 2019-03-11 2020-03-31
559 MUFG Securities Asia Limited Allan Stuart Michael -Rep 2016-07-11 2020-03-31
560   Boudny Miroslav Misha -RO 2016-12-13 2020-03-31
561 MYRIAD ASSET MANAGEMENT LIMITED Tan Kevin Han Pin -Rep 2014-09-08 2020-04-02
562 NATIXIS ASIA LIMITED Lasjunies Aurelien Matthieu +Rep 2020-04-08
563   Li Tsz Hei +Rep 2020-04-08
564   Wong Hiu Kwan -Rep 2016-09-21 2020-04-09
565 Neo Risk Investment Advisors Limited Chen James Zhao Teng -RO 2015-02-05 2020-03-31
566 Nerico Brothers Limited (HK) Chan George Kwong Fat -Rep 2014-07-08 2020-03-30
567   Chan James Man Chun -Rep 2017-10-13 2020-03-30
568   Chan Pui Yau -Rep 2012-07-03 2020-03-30
569   Chiang Kwong Chu -Rep 2017-07-25 2020-03-30
570   Ho Kai Cheung Alex -Rep 2018-06-22 2020-03-30
571   Hui kwok Fung -Rep 2011-08-22 2020-03-30
572   Keung Cheuk Lung -Rep 2011-11-30 2020-03-30
573   Law Tak Chi (SFC:BFY848) -Rep 2015-08-27 2020-03-30
574   Lo Ka Wing (SFC:AXP772) -Rep 2013-01-02 2020-03-30
575   To Yik Man -Rep 2010-10-05 2020-03-30
576   Wan Hoi Ying (SFC:BFY851) -Rep 2015-08-27 2020-03-30
577   Wong Ting Yuen (SFC:BDM053) -Rep 2017-12-29 2020-03-30
578 Neuberger Berman Asia Limited Hung Cheuk Ting +Rep 2020-04-02
579 Neumann Advisory Hong Kong Limited Xu Jiahao (SFC:BPL936) +Rep 2020-04-02
580 New Century Asset Management Limited Wong Ka Bong (SFC:BPK782) +Rep 2020-04-06
581 New China Asset Management (Hong Kong) Limited Xue Bingyan -Rep 2019-09-25 2020-03-31
582 New Vision Asset Management Limited Lee Wee Siang +Rep 2020-04-02
583   Liang Yiming -Rep 2019-12-23 2020-04-06
584 NH INVESTMENT & SECURITIES (H.K.) LIMITED Kim Young Hoon -RO 2018-01-04 2020-03-31
585 NIVALIS PARTNERS LIMITED Chou Valerie -Rep 2016-07-04 2020-03-31
586 NOAH HOLDINGS (HONG KONG) LIMITED Sui Yan -RO 2017-12-29 2020-03-31
587 NOMURA INTERNATIONAL (HONG KONG) LIMITED Gocsei Jean-Claude Renaud -Rep 2018-11-01 2020-03-31
588     +RO 2020-03-31
589   Koike Hiroyasu -Rep 2019-05-08 2020-04-01
590   Ng Reuben Wai Bun +Rep 2020-04-07
591   Yang Jialiang -Rep 2018-05-04 2020-04-02
592   Ying Chongxi +Rep 2020-04-07
593 North Beta International Securities Limited Huang Shaodong +Rep 2020-03-31
594 OIL Assets Securities Limited Lau Kin Wang +Rep 2020-03-27
595 OKACHI (HONG KONG) COMPANY LIMITED Yau Chun Wing +Rep 2020-04-08
596 Olympus Partners Asia Limited (b2018-03-15) Li Yi (SFC:BPM007) +Rep 2020-04-08
597   Park Chaeyoung +Rep 2020-04-09
598 ONEDAY CORPORATE FINANCE LIMITED Cheung Victor Chor Keung -RO 2018-11-01 2020-03-31
599 Ord Minnett Hong Kong Limited Last Timothy Philip -RO 2013-01-15 2020-03-31
600 Oreana Financial Services Limited Cheung Cheuk Fung -Rep 2018-02-28 2020-04-03
601 ORI Capital Limited To Siu Lun +Rep 2020-04-01
602 ORIENT CAPITAL (HONG KONG) LIMITED Feng Jingyan +Rep 2020-04-09
603   Wang Siyu (SFC:BPM165) +Rep 2020-04-06
604 ORIENT SECURITIES (HONG KONG) LIMITED Feng Jingyan +Rep 2020-04-09
605   Wang Siyu (SFC:BPM165) +Rep 2020-04-06
606   Zeng Chao -RO 2019-09-17 2020-03-31
607   Zheng Runze +Rep 2020-04-09
608 P.B. Global Asset Management Limited Tang Chunhua -RO 2014-11-18 2020-03-31
609 PACIFIC ALLIANCE INVESTMENT MANAGEMENT (HK) LIMITED Izawa Hiroyuki -Rep 2019-09-17 2020-03-30
610 PACIFIC FOUNDATION SECURITIES LIMITED Lee Bryan Kwun Leung -Rep 2016-07-11 2020-04-01
611 Pamirs Capital (H.K.) Limited Hui Daniel Sheung Yin +Rep 2020-04-07
612 PANTHEON VENTURES (HK) LLP Huang Sibing -Rep 2014-03-21 2020-03-31
613 PAOCHU INVESTMENT ADVISORY LIMITED Lin Pei-Ru -Rep 2016-11-01 2020-03-27
614   Wan Ho Lam -Rep 2018-05-29 2020-03-27
615 PARTNERS CAPITAL SECURITIES LIMITED Lam Sin Wa -Rep 2011-06-10 2020-04-08
616     +RO 2020-04-08
617 Pathway Capital Management (HK) Limited Chang Jingyi +Rep 2020-04-08
618 PEAK CLOUD LIMITED Ng Tze Chung -RO 2019-12-05 2020-04-06
619 PELICAN FINANCIAL LIMITED Chan Sau Lim +Rep 2020-04-07
620 PHILIPPA HUCKLE GROUP LIMITED (THE) Chu Cheuk Hung -RO 2020-01-07 2020-04-09
621 PHILLIP COMMODITIES (H.K.) LIMITED Hung William +Rep 2020-03-27
622   Law Wai Kit +Rep 2020-04-01
623   Mo Kwan Ho -Rep 2015-01-30 2020-04-05
624   Singh Sanjiv +Rep 2020-04-03
625   Wong Ka Ho (SFC:BJG194) -Rep 2017-03-17 2020-03-27
626   Wong Wai Lam (SFC:AEL134) +Rep 2020-04-01
627 PHILLIP SECURITIES (HONG KONG) LIMITED Hung William +Rep 2020-03-27
628   Law Wai Kit +Rep 2020-04-01
629   Mo Kwan Ho -Rep 2015-01-30 2020-04-05
630   Singh Sanjiv +Rep 2020-04-03
631   Wong Ka Ho (SFC:BJG194) -Rep 2017-03-17 2020-03-27
632   Wong Wai Lam (SFC:AEL134) +Rep 2020-04-01
633 PICEA INVESTMENT MANAGEMENT LIMITED Xu Bo (SFC:AYA837) +Rep 2020-04-01
634 Pictet Asset Management (Hong Kong) Limited Fan Liang +Rep 2020-04-06
635 PineBridge Investments Asia Limited Ho Ka Lun -Rep 2019-03-11 2020-03-27
636   Tai Chung Hoe -Rep 2018-05-11 2020-04-02
637     +RO 2020-04-02
638 PineBridge Investments Hong Kong Limited Ho Ka Lun -Rep 2019-03-11 2020-03-27
639   Tai Chung Hoe -Rep 2018-05-11 2020-04-02
640     +RO 2020-04-02
641 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED Yao Wenjing (SFC:BPL439) +Rep 2020-03-27
642   Zhao Can -Rep 2017-09-04 2020-03-29
643 PING AN OF CHINA FUTURES (HONG KONG) COMPANY LIMITED Cheng Kong Wai -Rep 2019-09-17 2020-04-02
644     +RO 2020-04-02
645 PING AN SECURITIES LIMITED Chau Choi Lam -RO 2018-02-20 2020-03-31
646 Pinpoint Asset Management Limited Chen Hong-Wen -Rep 2017-11-22 2020-03-31
647 PJT Partners (HK) Limited Cheng Laurence Man Chiu +Rep 2020-03-31
648 Plutus Securities Limited Tsang Robert Fanqi +Rep 2020-04-06
649 POINCARE CAPITAL MANAGEMENT LIMITED Au Catherine Pui Shan +RO 2020-04-08
650   Casin Alexandre Mathieu Valdemar -RO 2018-05-04 2020-04-01
651   Zeng Xin (SFC:BMZ563) -Rep 2018-07-13 2020-04-01
652 Polymer Capital Management (HK) Limited Yin Ge (SFC:BIV624) +Rep 2020-04-07
653 PRUDENTIAL BROKERAGE LIMITED Chow Lai Yan +Rep 2020-04-07
654   Kee Pok Yim +Rep 2020-04-07
655   Leung Sze Cheung +Rep 2020-04-08
656   Mok Kwok Yi +Rep 2020-04-07
657   Si Joanna Ka Loy +Rep 2020-03-27
658   Yap Cheong Seng +Rep 2020-03-31
659 PRUDENTIAL INDEX TRADING COMPANY LIMITED Chow Lai Yan +Rep 2020-04-07
660   Leung Sze Cheung +Rep 2020-04-08
661 PYRMONT WEALTH MANAGEMENT LIMITED Ma Chun Man (SFC:BHK943) -Rep 2016-08-08 2020-04-01
662 PYXIS WEALTH ADVISORS LIMITED Lam Yin Ng -RO 2019-08-14 2020-04-01
663 QH Asset Management Company Limited Pang Chun Fai (SFC:AQJ528) -RO 2018-05-14 2020-03-31
664 QH CAPITAL LIMITED Teoh Ronnie Chee Keong -RO 2019-11-13 2020-04-03
665 Rasong Asset Management Limited Tang Andrew Ping Sum -RO 2017-11-30 2020-03-31
666 RBC INVESTMENT SERVICES (ASIA) LIMITED Lau Chi Man (SFC:ANL056) +Rep 2020-03-30
667   Willis Benjamin Adam -Rep 2020-02-11 2020-03-31
668     +RO 2020-03-31
669 RHB ASSET MANAGEMENT LIMITED Chan Chi Bun -RO 2018-09-24 2020-03-31
670 RHB FUTURES HONG KONG LIMITED Cheung Teresa Yuk Wah -Rep 2017-08-28 2020-03-27
671   Cheung Yiu Kay -Rep 2012-02-23 2020-03-27
672   Chow Lai Yan -Rep 2017-03-10 2020-03-27
673   Lau Wung Koon -Rep 2018-02-20 2020-03-31
674   Law Wai Kit -Rep 2020-01-10 2020-03-31
675   Singh Sanjiv -Rep 2015-01-21 2020-03-27
676   Wong Wai Lam (SFC:AEL134) -Rep 2019-06-25 2020-03-31
677   Yip Yuk Fung -Rep 2013-01-23 2020-04-07
678 RHB SECURITIES HONG KONG LIMITED Cheung Teresa Yuk Wah -Rep 2015-11-13 2020-03-27
679   Cheung Yiu Kay -Rep 2012-02-23 2020-03-27
680   Chow Lai Yan -Rep 2017-03-10 2020-03-27
681   Kee Pok Yim -Rep 2013-06-28 2020-03-27
682   Lau Wung Koon -Rep 2018-02-20 2020-03-31
683   Law Wai Kit -Rep 2019-11-08 2020-03-31
684   Mok Kwok Yi -Rep 2013-07-02 2020-03-27
685   Singh Sanjiv -Rep 2015-01-21 2020-03-27
686   Wong Wai Lam (SFC:AEL134) -Rep 2019-06-25 2020-03-31
687   Yip Yuk Fung -Rep 2003-07-16 2020-04-07
688 Rich Bay Securities Limited Ho Ryan Cheuk Hang +RO 2020-04-02
689   Ng Tze Chung -Rep 2020-04-07 2020-04-08
690     +RO 2020-04-08
691   Poon To Sing -RO 2017-08-28 2020-04-03
692 RICHE BRIGHT SECURITIES LIMITED Chung Chi Ming (SFC:AAY647) +RO 2020-03-27
693   Lai Wing Hung (SFC:ANH142) -RO 2019-03-06 2020-04-06
694   Suen Kin Pong -RO 2018-07-17 2020-04-01
695 Richlink Capital (Hong Kong) Limited Tang Zhenhui -Rep 2020-01-03 2020-04-03
696 Right Time Asset Management Company Limited Liu Bing (SFC:BKY745) -Rep 2017-09-18 2020-04-03
697   Wong Mun Yee (SFC:APU633) +RO 2020-04-01
698   Xia Zhong +RO 2020-03-30
699 Riverwest Advisors Limited Chen Te Hen Toku -RO 2018-05-17 2020-03-31
700   Nishikawa Mayuko -RO 2009-07-02 2020-03-31
701   Nishikawa Taisuke -RO 2009-07-02 2020-03-31
702   Suzuki Tsutomu (SFC:ASW811) -RO 2009-07-02 2020-03-31
703 Robeco Hong Kong Limited Padhye Pooja -Rep 2020-01-06 2020-03-31
704   Wirds Frank -Rep 2012-03-20 2020-03-31
705   Zhou Yijie -Rep 2018-10-22 2020-03-27
706 Rockhampton Management Limited Qi Xin -Rep 2018-08-24 2020-03-30
707 ROYAL FUND MANAGEMENT CO., LIMITED Wu Nelson Chi Chung +RO 2020-03-30
708 ROYSTON SECURITIES LIMITED (GBEN) Chiu Chi Pang +Rep 2020-04-03
709   Lui Hiu Ki Jesine +Rep 2020-04-06
710 S&P Global Ratings Hong Kong Limited Park Se Hyun (SFC:AUR862) -Rep 2017-11-01 2020-03-27
711 Sage Partners Limited Ngan Yee Man +RO 2020-03-31
712   Wang Fei (SFC:BIH086) +RO 2020-03-31
713 Samsung Asset Management (Hong Kong) Limited Tang Wing Kin -RO 2012-01-03 2020-03-31
714 SAMSUNG SECURITIES (ASIA) LIMITED Son Do Un -Rep 2019-06-11 2020-03-31
715 SANFULL SECURITIES LIMITED Lam Wai Chee (SFC:AAB993) -Rep 2016-07-28 2020-03-31
716 SANSTON FINANCIAL GROUP LIMITED Wong Wai Man (SFC:AEZ021) +Rep 2020-04-02
717 SBI China Capital Financial Services Limited Fung Chen Tung -Rep 2020-03-05 2020-04-03
718     +RO 2020-04-03
719 SBI China Capital Hong Kong Securities Limited   +Rep 2020-04-03
720 Schonfeld Strategic Advisors (Hong Kong) Limited Chen Bingjian +Rep 2020-04-08
721   Watanabe Takuma (SFC:BLX207) -Rep 2018-01-15 2020-03-30
722   Yamashita Tamisuke -Rep 2017-03-10 2020-03-30
723 Sculptor Capital Management Hong Kong Limited (b2001-12-28) Fu Lei (SFC:ALC052) -RO 2018-07-04 2020-03-31
724 SEASON ASSET MANAGEMENT LIMITED Meng Jing -Rep 2019-12-13 2020-04-03
725 SHACOM FUTURES LIMITED Li Jansen Chi Yung +Rep 2020-04-07
726 SHANGHAI INTERNATIONAL ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED Duan Lian (SFC:BOH861) +Rep 2020-04-07
727 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED Chiu On Sang -Rep 2019-05-20 2020-03-31
728   Lam Chun Yim -Rep 2019-02-14 2020-04-03
729   Tam Chester Ying Ho +Rep 2020-04-07
730 SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED Chiu On Sang -Rep 2019-05-20 2020-03-31
731 SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED Lam Chun Yim -Rep 2019-02-14 2020-04-03
732   Tam Chester Ying Ho +Rep 2020-04-07
733 SHANXI SECURITIES INTERNATIONAL LIMITED Chiu On Sang -RO 2019-07-31 2020-03-31
734   Lam Chun Yim -Rep 2019-02-14 2020-04-03
735   Tam Chester Ying Ho +Rep 2020-04-07
736   Wong Aggie Pui Shan +Rep 2020-04-01
737 SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED Wong Marshal Sze Yuen -Rep 2014-09-03 2020-04-05
738 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED Lam Mau Kit +Rep 2020-04-06
739 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED Kuang Peiqin -Rep 2019-07-22 2020-03-31
740   Yang Guoping (SFC:AXB620) -Rep 2011-05-24 2020-03-30
741 SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED Lam Mau Kit +Rep 2020-04-06
742   Man Yuk Fai (SFC:BEC792) -Rep 2018-02-13 2020-04-02
743 SHENZHEN CAPITAL (INTERNATIONAL) ASSET MANAGEMENT COMPANY LIMITED Chen Geng (SFC:AOY114) -Rep 2020-02-11 2020-04-01
744     +RO 2020-04-01
745 Silk Road International Capital Limited Woo Kai Wing Ray +Rep 2020-03-31
746 SILVERHORN INVESTMENT ADVISORS LIMITED Greif Joseph Judah +Rep 2020-03-27
747 SINO CAPITAL SECURITIES LIMITED Wong Yiu Man (SFC:ADA634) +RO 2020-04-01
748 Sino Opulence Asset Management Co Limited Hung Cho Yan +RO 2020-03-30
749   Yu Chun Kuei +RO 2020-03-30
750 SINOPAC ASSET MANAGEMENT (ASIA) LIMITED Lee Yang-Shen +Rep 2020-03-31
751 SINOPAC SECURITIES (ASIA) LIMITED Li Clive Cheuk Yin +Rep 2020-04-09
752   Ng Ting Cheong -Rep 2018-09-19 2020-03-31
753   Yuen Ka Chi +Rep 2020-04-09
754 Sinostar Asset Management Limited Chui Sin Ying -Rep 2018-10-05 2020-04-03
755   Leung King Chung -Rep 2019-05-08 2020-03-31
756 Sinostar Securities Limited Chui Sin Ying -Rep 2018-10-05 2020-04-03
757   Leung King Chung -Rep 2019-05-08 2020-03-31
758 SMART GRANDLY ASSET MANAGEMENT LIMITED Zhen Xu -RO 2017-12-14 2020-04-01
759     +Rep 2020-04-01
760 SMBC Nikko Securities (Hong Kong) Limited Kudo Kento -Rep 2018-05-28 2020-03-28
761   Noguchi Kenji -RO 2012-07-20 2020-04-09
762   Watanabe Hiroharu +Rep 2020-04-01
763 Solomon JFZ (Asia) Holdings Limited Cheung Lap Wai -Rep 2020-02-27 2020-03-31
764   Chong Yuk Ting +RO 2020-03-31
765 Soochow Securities International Asset Management Limited Chen Chi Hung -Rep 2016-12-08 2020-03-31
766 Soochow Securities International Brokerage Limited Ng Chi Fai (SFC:AFG430) -Rep 2017-08-30 2020-03-31
767   Yeung Tsan Ho -Rep 2017-10-17 2020-03-31
768 SOUTH CHINA CAPITAL LIMITED Chan Kin Yan -Rep 2016-11-14 2020-03-31
769   Wong Nigel Ka Fook -Rep 2017-12-20 2020-03-31
770 SOUTH CHINA RESEARCH LIMITED Hou Ho Wan -Rep 2019-01-21 2020-03-31
771 SOUTH CHINA SECURITIES LIMITED Chan Kin Yan -Rep 2016-11-14 2020-03-31
772   Hou Ho Wan -Rep 2019-01-21 2020-03-31
773   Hung Yiu Hin +Rep 2020-04-03
774   Wong Nigel Ka Fook -Rep 2017-12-20 2020-03-31
775 SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED Zhang Sirui (SFC:BPL914) +Rep 2020-03-30
776 SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED   +Rep 2020-03-30
777 SOUTHWEST SECURITIES (HK) CAPITAL LIMITED Lo Hei Tung -Rep 2017-11-15 2020-04-05
778 SPDB International Capital Limited Chen Sheng (SFC:BPL918) +Rep 2020-04-06
779   Ha Ming Chung -RO 2019-05-29 2020-03-27
780 SPDB International Investment Management Limited Wang Dongzhe +Rep 2020-04-06
781 STATE STREET GLOBAL ADVISORS ASIA LIMITED Chan Chun Man (SFC:AGJ907) -Rep 2012-04-30 2020-04-08
782 STI Asset Management Limited Seto Wang Tat William -Rep 2018-06-19 2020-03-31
783 SUN HUNG KAI INVESTMENT SERVICES LIMITED Lam Pui Tat -Rep 2006-02-03 2020-03-31
784   Lee Yee Wah Cindy -Rep 2019-08-12 2020-03-27
785   So Tsz To +Rep 2020-04-02
786 Sunfund Capital Limited Lam Chin Wa -Rep 2019-09-13 2020-03-27
787 SUNFUND FUND MANAGEMENT LIMITED Mao Lei -Rep 2020-02-25 2020-03-27
788 SUNFUND SECURITIES LIMITED Chan Sunny Tit Leung +RO 2020-04-02
789   Mao Lei -Rep 2020-02-25 2020-03-27
790   Tsoi Ka Ming +Rep 2020-03-30
791 SUNNY WORLD INVESTMENT LIMITED Lai Chui Lai -Rep 2020-03-31
792 Sunrise Brokers (Hong Kong) Limited Hill Victoria Margaret Nahathai +Rep 2020-04-07
793 Superfund Financial (Hong Kong) Limited Kim Taeyoung (SFC:BOR704) +Rep 2020-03-27
794 Swenson Asset Management Limited Chan Sai Wing (SFC:AMU845) +RO 2020-04-03
795 Swissquote Asia Limited Wang Jiayang (SFC:BPN336) +Rep 2020-04-09
796 Symmetry Investments (Hong Kong) Limited Niu Qiankun +Rep 2020-03-31
797   Tham Huan Ling -Rep 2017-11-10 2020-04-02
798 SynerWealth Financial Limited Hui Pui Pui -Rep 2014-04-23 2020-03-27
799   Lee Ming Kay -Rep 2016-10-31 2020-03-27
800   Leung Ying Ha -Rep 2014-04-28 2020-03-27
801   Tsang Ka Yan -Rep 2016-10-31 2020-03-27
802 Taiyue Capital (HK) Limited Wong Foelan -Rep 2020-03-02 2020-04-07
803     +RO 2020-04-07
804 TANRICH ASIA-PAC ASSET MANAGEMENT (ASIA) LIMITED Li Derick Kam Ching +RO 2020-04-07
805 TANRICH ASIA-PAC FUTURES LIMITED   +RO 2020-04-07
806 TAT LEE SECURITIES COMPANY LIMITED Lee Koon Wai -Rep 2010-09-20 2020-03-31
807 TC Concord Securities Limited Liao Weicong -Rep 2019-10-02 2020-04-05
808 TENGARD FUND MANAGEMENT LIMITED Shum Hing Hung -RO 2012-04-03 2020-03-31
809     +Rep 2020-03-31
810 TFI Securities and Futures Limited Wang Ting (SFC:BIR267) +Rep 2020-04-08
811 TIANDA SECURITIES LIMITED Mok Kin Wai +RO 2020-04-06
812 TOPAZ CAPITAL MANAGEMENT LIMITED Ip Tsz King -Rep 2019-07-02 2020-03-31
813 Topaz Financial Group Limited   -Rep 2019-06-19 2020-03-31
814 TradeMaster Securities (Hong Kong) Limited Fan Jia (SFC:BEB083) -Rep 2020-02-03 2020-04-02
815     +RO 2020-04-02
816 TRENDA CAPITAL LIMITED Guo Jing (SFC:BIU928) +Rep 2020-04-08
817 Tyee Capital Management Limited Deng William Shijun +RO 2020-04-07
818 UBS SECURITIES ASIA LIMITED Coote Matthew Christopher -Rep 2018-03-20 2020-03-31
819   Fang Chenjun -Rep 2020-01-16 2020-03-31
820   Farhat Sarah +Rep 2020-04-09
821   Moussa Imene (SFC:BNU976) -Rep 2018-11-19 2020-03-28
822   Teo Swee Yong -Rep 2020-03-09 2020-04-09
823   Xu Zihan -Rep 2018-11-28 2020-03-28
824 UBS SECURITIES HONG KONG LIMITED Farhat Sarah +Rep 2020-04-09
825   He Di -Rep 2016-12-19 2020-04-01
826   Wang Qin (SFC:BEC606) -Rep 2018-04-16 2020-04-01
827   Zhong Mingchang -Rep 2018-06-13 2020-03-28
828 UOB KAY HIAN (HONG KONG) LIMITED Ng Hong Yeung +Rep 2020-04-07
829 UOB KAY HIAN FUTURES (HONG KONG) LIMITED   +Rep 2020-04-07
830 uSmart Securities Limited Tang Yick Shun +Rep 2020-04-06
831 VALUE PARTNERS HONG KONG LIMITED Bae Sang Hoon -Rep 2016-03-01 2020-03-31
832   Lam Sze Hang Agnes +Rep 2020-03-31
833   Leung Man Sik Manz -Rep 2015-07-28 2020-03-27
834   Mills Michael Jeffrey -Rep 2018-10-04 2020-03-27
835   Zhu Jiaying -Rep 2016-05-31 2020-03-27
836 VALUE PARTNERS LIMITED Bae Sang Hoon -Rep 2016-03-01 2020-03-31
837   Lam Sze Hang Agnes +Rep 2020-03-31
838   Leung Man Sik Manz -Rep 2015-07-28 2020-03-27
839   Mills Michael Jeffrey -Rep 2018-10-04 2020-03-27
840   Zhu Jiaying -Rep 2016-05-31 2020-03-27
841 Value Partners Private Equity Limited Mills Michael Jeffrey -Rep 2019-02-13 2020-03-27
842 VALUE STAR ASSET MANAGEMENT (HONG KONG) LIMITED Lam Yuen Hei (SFC:AXF651) -Rep 2020-02-19 2020-04-08
843     +RO 2020-04-08
844 VBG Capital Limited Law Cho Kwan Derek -Rep 2017-10-30 2020-03-27
845 Verdant Capital Management Limited Poon To Sing +RO 2020-04-08
846 VICTORY SECURITIES COMPANY LIMITED Chan Pui Chuen -Rep 2013-07-24 2020-04-06
847     +RO 2020-04-06
848   Zhang Jinghan (SFC:BPK430) +Rep 2020-04-07
849 Virtu ITG Hong Kong Limited Chan Chi Kin (SFC:AFD060) -RO 2005-07-28 2020-03-31
850   Darling Robert Joseph -Rep 2016-05-04 2020-03-31
851 Vision Quest International Futures Company Limited Lee Wai Leung (SFC:ACJ656) -Rep 2019-07-25 2020-03-31
852 VisionGain Capital Limited Luo Shanshan -RO 2015-07-02 2020-04-01
853 Vontobel Asset Management Asia Pacific Limited Li Zhen (SFC:BPN223) +Rep 2020-04-07
854 Walker Capital Limited (HK) Kwong Wang Pok -RO 2017-07-28 2020-04-06
855 Wealth Management Cube Limited Tse Wai Biu -RO 2019-09-20 2020-03-31
856 WELLCHAMP CAPITAL LIMITED Wang Yufei (SFC:BGZ968) -Rep 2016-02-15 2020-04-03
857     +RO 2020-04-03
858 Wellington Management Hong Kong Limited (b2003-01-02) Zhao Can +Rep 2020-04-08
859 Wells Fargo Securities Asia Limited Yung Kathryn Ka Sing -Rep 2016-03-14 2020-03-31
860     +RO 2020-03-31
861 WeShare Securities Limited Huang Chih Hong -Rep 2020-01-16 2020-03-31
862     +RO 2020-03-31
863 Win Harvest Asset Management Limited Choy Tsz Hin +Rep 2020-03-31
864   Tsui Man Ki Natalie +Rep 2020-03-31
865 Wisdom Asset Management Limited (HK) Chen Yu Chun (SFC:BOC414) -Rep 2019-02-11 2020-04-01
866 Wolver Hill Asset Management Asia Limited Yan Wei (SFC:BMV569) +Rep 2020-03-30
867 YONXI International Finance Holdings Limited Chou Chun Lam +RO 2020-03-30
868 YUE XIU FUTURES COMPANY LIMITED Hao Wenjing -Rep 2019-10-02 2020-03-31
869   Li Kwok Chiu -RO 2017-10-27 2020-03-31
870   Mo Xianjue -Rep 2019-05-30 2020-03-31
871   Yip Kwun Wang -Rep 2020-02-26 2020-04-03
872 YUE XIU SECURITIES COMPANY LIMITED Ding Lin (SFC:BLU081) -Rep 2018-06-12 2020-04-03
873   Hao Wenjing -Rep 2019-10-02 2020-03-31
874   Li Kwok Chiu -RO 2011-02-17 2020-03-31
875   Mo Xianjue -Rep 2019-03-25 2020-03-31
876   Pang Kwok Pan +Rep 2020-03-27
877   Yip Kwun Wang -Rep 2020-02-12 2020-04-03
878 Yunfeng Asset Management Limited Dong Na -Rep 2018-09-04 2020-04-01
879 Yunfeng Financial Markets Limited   -Rep 2016-06-29 2020-04-01
880 Yunfeng Securities Limited   -Rep 2016-06-29 2020-04-01
881 ZHICHENG INTERNATIONAL FINANCIAL COMPANY LIMITED Zou Wuqiu -RO 2019-09-03 2020-03-27
882 Zhong Shan Asset Management Limited Ji Kaiqiang -Rep 2019-10-02 2020-04-01
883 ZHONGTAI INTERNATIONAL CAPITAL LIMITED Sze Alan Man Tai +Rep 2020-03-30

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