SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2019
SFC ID Role From Until
1 Abe, Hiromi ACJ263 Rep 2011-12-19 2012-09-28
2 Abe, Takahiro 阿部考浩 AXN884 Rep 2011-08-01 2012-03-31
3 Anada, Takashi 穴田孝史 BAJ167 Rep 2012-11-21 2013-10-07
4 Arya, Parth APS569 Rep 2017-12-13 2021-03-03
5 Bainbridge, James William (SFC:BAV890) M BAV890 Rep 2017-10-24 2017-11-23
6 Berrisford, Carl Thomas M AIZ256 Rep 2004-03-16 2004-05-04
7 Bhagavath, Sunil Sudhakar BDR859 Rep 2014-07-07 2020-01-15
8 Carrigan, Nicholas M BAX003 Rep 2014-06-20 2018-08-31
9 Chan, Chi Leong 陳智亮 72 M AAK013 RO 2006-05-08 2010-10-19
10 Chan, Ching Han (SFC:BGU411) 陳靜嫻 BGU411 Rep 2016-01-12
11 Chan, Dennis Kwok Fung 陳國峰 M AMK236 Rep 2014-01-14 2020-11-16
12 Chan, Maureen Wai Ling 陳慧玲 F ACU384 Rep 2004-04-27 2011-03-18
13 Chan, Soo Sum 陳素心 AOY533 Rep 2011-01-13 2013-09-27
14 Chan, Wai Lung (SFC:AAC760) 陳偉隆 AAC760 Rep 2008-03-18
RO 2008-03-18 2018-01-01
15 Chang, Ioi Tim 曾銳添 ADZ296 Rep 2014-10-06 2015-02-04
RO 2015-02-04 2018-07-20
16 Chen, Yanjie 陳燕杰 BPE440 Rep 2019-11-28 2023-12-06
17 Chen, Yuan (SFC:AEJ844) 陳遠 50 M AEJ844 Rep 2006-04-10 2006-04-21
18 Cheng, Keith Teng Fong 鄭廷峰 M AXG564 Rep 2011-05-09 2011-06-28
19 Cheung, Frances 張淑嫻 F AGG658 Rep 2003-07-30 2005-10-05
20 Cheung, Warren Yui Kai 張睿佳 52 M ACX305 Rep 2011-04-08 2011-11-01
21 Cho, Taejung BKM785 Rep 2017-08-16 2018-12-14
22 Choi, Anderson Chun Fat 蔡俊發 M ANA716 Rep 2011-06-28 2017-12-22
RO 2017-12-22 2018-07-11
23 Chung, Hoh BGA457 Rep 2015-08-17 2022-04-14
24 Chung, Ka Yin 鍾嘉彥 BBC953 Rep 2013-05-10 2015-08-10
25 Chung, Thomas Yat Kit 鍾逸傑 M BEW941 Rep 2018-05-28 2020-12-03
26 Cook, Geoffrey John M APB534 Rep 2017-01-26 2017-07-31
27 Fok, Allan Tse Hang 霍子恒 M AGL185 Rep 2011-03-28 2012-07-20
RO 2012-07-20 2021-07-16
28 Foo, King Wah 符敬華 ADT598 Rep 2004-06-30
29 Fukushima, Hiroyuki (SFC:BHD511) M BHD511 Rep 2016-04-01 2016-06-22
RO 2016-06-22 2019-06-03
30 Furuta, Taketora 古田竹虎 BMP059 Rep 2018-04-18 2020-11-16
31 Guo, Zhen (SFC:BNZ011) 郭真 BNZ011 Rep 2018-12-31 2021-03-26
32 Hashimoto, Kazunari BCH701 Rep 2013-12-18 2019-05-02
33 Higashio, Aya 東尾彩 F BDR563 Rep 2014-07-29 2016-08-05
34 Hill, Trevor Aaron M AGH264 Rep 2014-06-20 2022-04-11
35 Hiraoka, Emiko ALQ881 Rep 2012-02-10 2016-09-23
36 Ho, Hiu Kwan 何曉筠 BDC539 Rep 2014-08-18
37 Honda, Miwa 本田美和 AQN414 Rep 2008-03-17 2022-05-30
38 Horii, Yuko 梅野優子 AYM566 Rep 2011-12-19 2013-12-30
39 Horota, Tsuyoshi BFH179 Rep 2015-05-06 2015-05-15
40 Huang, Ho Pin 黃禾蘋 BGD215 Rep 2018-11-30 2021-12-21
41 Ip, William Wai Lun 葉偉倫 63 M AEK747 RO 2012-07-20 2020-10-30
42 Isotani, Kengo AZQ054 Rep 2012-07-04 2013-04-03
43 Ji, Pingzi 季屏子 AXV098 Rep 2019-07-02 2021-10-15
44 Kang, Seung Yeon 姜升延 BNN541 Rep 2018-09-06 2019-09-26
45 Karanovic, Vladimir (SFC:BOB372) BOB372 Rep 2019-01-24
46 Kato, Mayumi 加藤真由美 AFK707 Rep 2012-07-18
47 Ke, Tak Lai 紀德禮 AXP786 Rep 2018-11-02
48 Kim, Joohyung 金胄亨 BOP067 Rep 2019-07-15 2021-12-20
49 Kobayashi, Shin AZO563 Rep 2012-06-28 2014-04-07
50 Koga, Akira 古賀彰 AWK856 RO 2011-01-03 2013-03-30
51 Kudo, Kento 工藤憲人 BMY321 Rep 2018-05-28 2020-03-28
52 Kwan, Chi Hong (SFC:AJB565) 關志康 AJB565 Rep 2003-08-13 2004-04-08
53 Kwong, King Chun 鄺璟俊 BJT521 Rep 2019-01-22 2019-09-11
54 Lai, Seng Long 黎星龍 BLZ829 Rep 2018-01-15 2018-07-17
55 Lam, King Sau (SFC:BAI839) 林勁秀 BAI839 Rep 2017-08-10 2021-11-30
56 Lam, May Mei Kam 林美金 F AAE339 RO 2010-10-18
Rep 2010-10-18 2011-03-18
57 Lee, Jiin Yih 李謹亦 AML646 Rep 2005-11-04 2007-09-11
58 Leung, Chun Shing 梁俊成 ALG206 Rep 2004-11-12 2007-09-15
59 Leung, Shu Tung 梁樹彤 BHI004 Rep 2016-05-18 2017-12-28
60 Li, Zhenyu (SFC:AKN225) 李震宇 AKN225 Rep 2017-11-06 2019-02-10
61 Lin, Ka Ho 連嘉豪 AMR825 Rep 2005-12-29 2007-12-13
62 Liu, Shuang (SFC:AHO649) 劉爽 AHO649 Rep 2006-12-01 2007-11-11
63 Lok, Colin Wai Hung 駱偉雄 M ASU015 Rep 2014-02-13 2017-10-27
64 Long, Lydia Soong Leng F BMM364 Rep 2018-03-06 2018-10-10
65 Louey, Cynthia Petrina 雷麗儀 F AOT558 Rep 2007-05-30 2009-04-08
66 Lu, Ta-Wen 陸大文 ABI262 RO 2008-09-19 2008-11-28
67 Lui, Andrew Kwan Ho 呂君皓 M ANH163 Rep 2007-12-19 2008-10-17
68 Lui, June Yi Vivian 呂俊儀 F BGD194 Rep 2018-09-19 2018-11-30
69 Man, Kon Sum 文幹森 AFI890 Rep 2004-10-15 2005-07-08
70 Man, Sunny Ho Kit 文浩傑 AMZ965 Rep 2006-03-07 2006-10-20
71 Mao, Yiyi 毛禕禕 BNY155 Rep 2018-12-31
72 Maruyama, Masashi ACB305 RO 2011-01-03 2012-10-22
73 Matsuo, Kai 松尾海 BOM712 Rep 2019-07-04 2020-07-09
74 Mitsui, Akira BFV016 Rep 2015-07-14 2019-11-26
75 Mizutani, Tatsumi 水谷竜美 ACL455 RO 2017-11-16 2018-05-14
76 Mochizuki, Yuki 望月優樹 F BGD499 Rep 2015-09-02 2021-06-01
77 Morii, Fumihide 守井文英 AXL520 Rep 2011-07-21 2012-03-30
78 Naka, Kazuhito 那珂和人 BDC123 Rep 2014-03-10 2014-07-25
RO 2014-07-25 2019-11-18
79 Nakabachi, Aya F BND276 Rep 2018-07-03 2019-06-19
80 Nakamura, Masashi (SFC:BOZ448) 中村雅史 BOZ448 Rep 2019-11-26 2019-12-03
81 Nakauchi, Kozue 仲內梢 AVY319 Rep 2011-06-07 2011-09-06
82 Ng, Choi Lun 吳采倫 ANM042 Rep 2011-07-05 2014-01-26
83 Ng, Kathy Ka Wai 伍家慧 F AXS569 Rep 2018-05-02 2021-06-19
84 Ng, Pauline Po Yuen 吳溥潤 F AAE985 Rep 2006-04-03 2008-05-30
85 Noguchi, Kenji AZI956 RO 2012-07-20 2020-04-09
86 O'Boyle, Gerald Keith M AEI662 Rep 2013-10-21 2014-12-03
87 Ohnuma, Kenta BDU344 Rep 2014-07-18 2015-04-01
88 Okubo, Kaori 大久保佳織 BOM072 Rep 2019-06-24 2023-05-10
89 Pervez, Ahsan (SFC:AJO361) AJO361 Rep 2015-06-01 2017-07-06
Rep 2018-03-01 2018-03-24
Rep 2018-06-07 2018-06-22
Rep 2019-06-06 2019-06-14
90 Sakai, Michinari 坂井道成 BBJ611 Rep 2013-07-03 2014-04-07
91 Sakamoto, Minoru (SFC:BOL098) BOL098 Rep 2019-06-14 2019-09-25
RO 2019-09-25 2022-05-05
92 Sampson, Machiko AJI380 Rep 2011-04-26 2018-10-11
RO 2018-10-11
93 Sato, Hiromi (SFC:ANS087) 佐藤弘美 ANS087 RO 2007-01-18 2012-06-29
94 Shimamoto, Arisa 嶌本有紗 BGM560 Rep 2015-11-16
95 Shino, Koa 藤崎小亞 ANU240 Rep 2017-07-21 2021-05-14
96 Siu, Ruby Pui Kay 蕭珮琪 F AGW561 Rep 2014-06-30 2014-10-24
RO 2014-10-24 2018-10-28
97 Surenkok White, Inci Irmak APD602 Rep 2007-06-26 2007-07-30
98 Suzuki, Kiyoko 鈴木清子 AXE045 Rep 2011-04-21 2020-04-15
99 Tada, Emiko AWY707 Rep 2011-04-29 2019-06-13
100 Tai, Kit Han 戴潔嫻 AWL052 Rep 2011-01-07 2014-08-25
101 Tam, Ming Yan (SFC:APL478) 譚銘忺 APL478 Rep 2014-12-12 2023-07-31
102 Tamura, Hitoshi 田村仁志 AZI957 RO 2012-06-01 2016-06-30
103 Tang, Tsz Yan Janice 鄧子欣 ATI680 Rep 2014-01-29 2019-02-10
104 Tang, Wai Hung (SFC:ADI418) 鄧偉雄 ADI418 Rep 2015-09-15 2016-03-04
RO 2016-03-04 2021-03-01
105 Tateishi, Tsuyoshi 立石剛史 AXI124 Rep 2011-06-28 2012-06-29
106 Truelove, Keith Alan M AWF626 Rep 2016-02-23 2017-11-16
107 Tse, Pui Yi (SFC:BNE636) 謝佩宜 BNE636 Rep 2018-07-09 2021-06-18
108 Tsim, Hon Keung 詹漢強 APW801 Rep 2007-12-20 2008-12-05
109 Tsutsumi, Kazumasa 堤一將 ARA418 Rep 2012-10-29 2014-02-06
110 Tu, Chia-Le Carol F AOT598 Rep 2007-06-20 2009-03-06
111 Ushijima, Shinsuke 牛島真丞 BAJ594 RO 2012-12-27 2014-03-26
112 Van Gulik, Robert Ken M ASU202 Rep 2011-01-19 2015-08-31
113 Wong, Benny Man San 黃文山 M ADN019 Rep 2003-07-24 2004-02-17
114 Wong, Chin Hung (SFC:AYF489) 黃展鴻 AYF489 Rep 2011-10-26 2012-12-21
115 Wong, Daren Wai Chow 王偉洲 M ADM896 Rep 2019-01-15 2019-09-12
116 Wong, Kwan Ting 黃君婷 BEM202 Rep 2014-11-17 2024-06-03
117 Wu, Tsz Yee 胡子宜 AAV288 Rep 2006-12-04 2007-10-02
118 Wu, Yu Han 吳宇涵 BHK210 Rep 2016-05-03 2016-05-13
119 Wyatt, Andrew William M BMV420 Rep 2018-05-07 2019-05-24
120 Xiao, Xiruo 肖西若 BIW247 Rep 2019-01-18 2021-01-12
121 Xu, Guang (SFC:BKC619) 徐光 BKC619 Rep 2018-10-16 2019-09-25
122 Xu, Rui (SFC:AXK860) 徐睿 AXK860 Rep 2011-06-16 2012-12-31
123 Yamagami, Shinichiro AYG572 Rep 2018-01-15 2018-05-08
RO 2018-05-08 2020-06-12
124 Yamamoto, Hideki 山本秀樹 AXO657 Rep 2011-07-08 2012-04-26
RO 2012-04-26 2019-07-05
125 Yasuda, Tairyu 安田太龍 AXL490 Rep 2011-08-01 2012-03-30
126 Yasui, Katsuhiko 安井克彥 BMV945 RO 2018-06-12 2020-07-31
127 Ye, Mingyuan 葉鳴遠 AMJ300 Rep 2017-11-02 2018-05-07
RO 2018-05-07 2020-10-27
128 Yeh, Man Hsuan 葉蔓萱 BJD212 Rep 2018-01-11 2021-02-17
129 Yeung, Kent Lai Wing 楊禮榮 AIC463 Rep 2004-08-17 2005-02-08
130 Yeung, Pui Yam 楊培欽 AXK444 Rep 2011-06-13 2012-07-25
131 Ying, Hak Kai 應克佳 AGA425 Rep 2010-12-28 2014-11-11
132 Yip, Shui Key 葉紹基 ACS410 RO 2004-08-11 2005-11-18
133 Yonts, Charles Anthony M AJM207 Rep 2004-04-01 2004-10-18
134 Yoshikawa, Ryosuke AZK069 Rep 2012-05-22 2013-03-29
135 Yoshikawa, Tatsuhiro 吉川龍拓 AXI125 Rep 2011-06-28 2015-04-01
136 Yu, Hoi Kit 余凱傑 AMW555 Rep 2006-02-16 2006-03-03
137 Yu, Maggie H W 余曉樺 F BIY639 Rep 2017-01-23 2017-11-14
138 Yuen, Man Yan 袁文茵 AAE316 RO 2010-10-18
Rep 2010-10-18 2011-03-18
139 Zhang, Qiangang 張乾剛 ABW737 RO 2011-06-16 2021-10-20
140 Zhang, Ruiyue (SFC:AZB698) 張瑞玥 AZB698 Rep 2014-04-02 2016-01-22
141 Zhang, Ruizhi (SFC:BIY029) 張銳之 BIY029 Rep 2017-10-27 2019-02-14
142 Zhang, Sensen (SFC:AZC333) 張森森 AZC333 Rep 2012-03-19 2013-04-14
143 Zhang, Xuyan 張旭妍 BMM382 Rep 2018-03-06 2019-12-04
144 Zhang, Yang (SFC:AXK580) 張揚 AXK580 Rep 2011-06-13 2014-09-17
145 Zheng, Zhonghui (SFC:BAB338) 鄭鍾慧 BAB338 Rep 2012-09-17 2024-06-03
146 Zhu, Roujia 朱柔嘉 BAY184 Rep 2016-03-17 2019-09-06

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