Latest changes in SFC licensees

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 3 Capital Partners Limited Low Hao Yi Benedict +Rep 2021-01-04
2 9M Stone Capital Limited Tian Ye (SFC:AWZ521) -RO 2020-08-06 2020-12-31
3 A-JEX INTERNATIONAL ASSET MANAGEMENT LIMITED Jin Xiaobin (1954) -RO 2018-02-12 2021-01-01
4 ABCI ASSET MANAGEMENT LIMITED Lee Yat Chun (SFC:API186) -RO 2015-02-10 2021-01-08
5 ABCI Securities Company Limited Chan Sau Han -Rep 2017-03-17 2021-01-04
6   Poon Man Kit (SFC:AOQ607) -Rep 2016-07-22 2020-12-31
7 Acorn Asset Management Limited (HK) Koh Choy (SFC:ACF185) -Rep 2020-12-16 2020-12-31
8     +RO 2020-12-31
9 ACTELLIGENT CAPITAL MANAGEMENT LIMITED Schollum Myo Wai +Rep 2020-12-31
10 ActusRayPartners Limited Tjhin Ting +Rep 2021-01-07
11 Adamas Asset Management (HK) Limited Heffner Paul Lincoln -RO 2013-02-20 2021-01-01
12   Kok Chi Ho -RO 2020-11-27 2021-01-05
13   Milovidova Daria -Rep 2019-06-20 2021-01-05
14 ADMIS Hong Kong Limited Chan Kevin Siu Pong -Rep 2016-01-11 2021-01-08
15 Afflux Securities Limited Chan Man Yuen (SFC:APX122) -Rep 2020-09-21 2021-01-10
16 AJ Securities Limited Leung Wang Ngai +Rep 2020-12-30
17 ALBA CAPITAL LIMITED Cheng Xi (SFC:AYR965) +RO 2021-01-05
18   Zhang Chao (SFC:BAK268) +RO 2021-01-05
19   Zhang Jingsi +RO 2021-01-05
20 All-Stars Investment Limited Chuen Jeanine Jing Yin +Rep 2021-01-11
21 Alliance Capital Partners Limited (HK) Ma Kaibing -Rep 2017-05-12 2020-12-31
22 AllianceBernstein Hong Kong Limited Chen Wei Yi (SFC:BAH886) -Rep 2012-10-19 2020-12-30
23   Yu Wing Hei Sharon -Rep 2015-10-07 2020-12-31
24 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) Phua Joo Han Adam -Rep 2018-10-31 2020-12-31
25   Yang Zijian (SFC:BHF423) +Rep 2021-01-05
26 Alpha Financial Group Limited Man Julian Kee Yang +Rep 2021-01-04
27 Alpha International Securities (HONG KONG) Limited Yao Man Yi -Rep 2018-07-27 2020-12-31
28 Alpha Win Capital Limited Tao Nina Chih-Yu +Rep 2021-01-11
29 ALTUS CAPITAL LIMITED Yuen Ryan Aaron -Rep 2020-11-10 2021-01-13
30 ALTUS INVESTMENTS LIMITED (HK)   -Rep 2020-11-10 2021-01-13
31 Amasse Asset Management Limited Loong Kwok Chueng -Rep 2020-10-30 2020-12-31
32 Amasse Capital Limited   -RO 2017-11-03 2020-12-31
33 Amoeba Capital Advisors Limited Lam Kwai Yip Janet +Rep 2021-01-12
34 AMPLE CAPITAL LIMITED Man Julian Kee Yang -Rep 2016-03-23 2020-12-31
35 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) Yu Tak Ming Benjamin +Rep 2021-01-11
36 AP Capital Management (Hong Kong) Limited Yan Leo Kei Shui -Rep 2020-02-17 2021-01-04
37 ApaH Capital Management Limited Ma Gavin See Yin +Rep 2021-01-11
38 Apollo Capital Management Limited Liu Hui (SFC:BNC679) -Rep 2020-06-17 2020-12-31
39 ARCH Capital Management Co. Limited Leung Jaime Verntaine +Rep 2021-01-06
40 ARCH Capital Property Advisors Co. Limited   +Rep 2021-01-06
41 Arcus Investment Asia Limited Yamane Masaaki -Rep 2015-10-09 2020-12-31
42     +RO 2020-12-31
43 Ares SSG Capital Management (Hong Kong) Limited Samuel Jacob -Rep 2017-05-26 2021-01-01
44 Arete Capital Asia Limited Cockell Janny +Rep 2020-12-31
45 ARTE Capital Management Limited Tang Kwan Yue +Rep 2021-01-08
46 AS CAPITAL LIMITED Kiu Ah +Rep 2021-01-08
47 ASIA INVESTMENT MANAGEMENT LIMITED Lam Wai Tong -Rep 2020-01-17 2020-12-31
48 ASIA PACIFIC INVESTMENT ADVISORS LIMITED White Christopher James (SFC:ACS947) +Rep 2021-01-12
49 ASIA PACIFIC SECURITIES LIMITED Tong Yuxiang (SFC:BFV918) -Rep 2020-10-09 2021-01-12
50 ASSET MANAGEMENT GROUP LIMITED Yu Vivien Wei Sung -Rep 2017-10-30 2021-01-12
51 Asset Management One Hong Kong Limited Leung Ka Wai (SFC:AOK606) +Rep 2021-01-12
52 ATHENA WEALTH MANAGEMENT LIMITED Chan Pan (SFC:AXH683) -Rep 2014-08-04 2020-12-30
53   Ho Tak Yee -Rep 2012-09-24 2020-12-30
54   Lok Wai Yi -Rep 2011-07-18 2020-12-30
55   Yeung Adrian (SFC:AMF303) -Rep 2014-09-08 2020-12-30
56   Yuen Caren Ka Man -Rep 2015-07-03 2020-12-30
57 ATLANTIS INVESTMENT MANAGEMENT LIMITED (HK) Zhang Fan (SFC:BKS625) +Rep 2021-01-11
58 Atta Capital Limited Cheung Hoi Ting (SFC:BHM242) -Rep 2019-07-30 2020-12-31
59 Augment Wealth Advisors Limited Bansal Amit (SFC:APB433) +RO 2021-01-13
60   Ho Ricky Shui Fai +RO 2021-01-13
61 AUGUSTINE ASSET MANAGEMENT LIMITED Lee Patrick Maung -Rep 2019-01-11 2020-12-31
62 Aurora Borealis Investment Services Limited He Dingding -Rep 2018-03-08 2021-01-11
63 AUSPICIOUS CAPITAL MANAGEMENT LIMITED Xu Chenxi (SFC:BPD421) -Rep 2019-12-24 2021-01-02
64 AVANTA INVESTMENT MANAGEMENT LIMITED Lam Chick Leung +RO 2021-01-05
65 Avanti Partners Limited Cheung Hoi Ting (SFC:BHM242) +Rep 2021-01-07
66 Avantua Capital Management Limited Li Ying (SFC:BQN192) +Rep 2021-01-13
67 Avenue Asset Management Limited (HK) Cheung Ting Yan -Rep 2017-02-07 2020-12-31
68 Avenue Family Office Limited   -Rep 2017-03-22 2020-12-31
69 AVENUE INVESTMENT MANAGEMENT LIMITED Tam Clarence Man Yung +Rep 2021-01-13
70 AXA Investment Managers Asia Limited Yuen Kin Chung -Rep 2018-08-23 2021-01-05
71 Balyasny Asset Management (Hong Kong) Limited Lin Shu-Wei -Rep 2019-01-24 2021-01-08
72   Winsley David Benjamin +Rep 2021-01-04
73 BARCLAYS CAPITAL ASIA LIMITED Tian Yingyu -Rep 2019-02-04 2021-01-08
74 BARING ASSET MANAGEMENT (ASIA) LIMITED Do Khiem Trong -RO 2020-12-31
75 Basel Capital Limited Hui Joseph Chi Kong -Rep 2020-11-09 2021-01-05
76 BCT Financial Limited Chan Miu Yin (SFC:BQQ272) +Rep 2021-01-12
77   Cheung Siu Hei +Rep 2021-01-06
78   Wu Siu Kwan +Rep 2021-01-06
79 Beevest Fortune Asset Management Limited See Reason Lee Seng -RO 2019-05-02 2021-01-11
80 BFAM Partners (Hong Kong) Limited Cohen Adrien Aaron -Rep 2019-08-12 2020-12-31
81 BlackRock Asset Management North Asia Limited Agrawal Prasoon +Rep 2020-12-30
82   Wong Angel Wai Man +Rep 2020-12-30
83 Blackwell Global Asset Management Limited Wang Shiao Ling -Rep 2019-08-21 2020-12-31
84 Blackwell Global Securities Limited   -Rep 2019-08-21 2020-12-31
85 BNP PARIBAS SECURITIES (ASIA) LIMITED Monard Thomas Nicolas -Rep 2010-07-08 2021-01-08
86   Zhao Yujie -Rep 2020-01-21 2020-12-31
87 BOCI ASIA LIMITED Deng Yunyi +Rep 2021-01-12
88   Yao Yang (SFC:BPO892) -Rep 2020-06-08 2020-12-30
89 BOCI COMMODITIES & FUTURES LIMITED Lung Wing Cheung +Rep 2021-01-13
90 BOCI SECURITIES LIMITED Lau Kit Ling +Rep 2021-01-13
91   Lee Pak Shing -Rep 2015-06-01 2021-01-05
92   Liu Taisheng +Rep 2021-01-13
93   Wang Guan (SFC:BBN532) +Rep 2021-01-13
94   Xu Yue (SFC:BFE156) +Rep 2021-01-13
95   Yip Sunny Kai Sun +Rep 2021-01-13
96 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Cheung Christina Ka Man -Rep 2011-05-17 2021-01-01
97   So Man Na +Rep 2021-01-11
98 BOCOM International (Asia) Limited Li Zeran -Rep 2018-04-06 2021-01-03
99 BOCOM International Securities Limited Chan Kam Yun (SFC:AAE200) -Rep 2012-11-14 2020-12-31
100   Li Zeran -Rep 2018-04-06 2021-01-03
101   Liang Wanli +Rep 2021-01-12
102   Zhou Zhe -Rep 2017-03-03 2021-01-03
103 BOCOM MPF & Financial Services Company Limited Yu Sin Ting +Rep 2021-01-07
104 Bosera Asset Management (International) Co., Limited Lu Yang (SFC:BPJ266) +Rep 2021-01-05
105   Luo Lingxiao +Rep 2020-12-31
106 Bright Point International Futures Limited Ongko Frederick Kesuma -Rep 2018-11-08 2021-01-04
107 BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED Tso Kin Man (SFC:BQP094) +Rep 2021-01-05
108 Brookfield Advisors (Hong Kong) Limited Tam Chun Chiu -Rep 2020-09-04 2021-01-06
109     +RO 2021-01-06
110 Campbell Lutyens Asia Pacific Limited McLean Erik Alexander +Rep 2021-01-06
111   Yoon Dong Hyuk -RO 2015-09-22 2020-12-31
112 CAPITAL GLOBAL MANAGEMENT LIMITED Chen Po-Liang -Rep 2019-04-15 2021-01-13
113     +RO 2021-01-13
114   Chou Shih-Chun -Rep 2020-06-09 2021-01-01
115 Capula Investment Management Asia Limited Anantharam Vishweshwar +Rep 2020-12-30
116   Hau William Chun Wai +Rep 2021-01-04
117   Law Peyron Yiu Pong -Rep 2016-01-11 2021-01-01
118   Striesow Christopher -Rep 2013-04-02 2021-01-11
119     +RO 2021-01-11
120 CARLYLE HONG KONG EQUITY MANAGEMENT LIMITED Lee Hwan Hee +Rep 2021-01-06
121 Carnegie Hill Capital Partners Limited Hung Wai Lun -Rep 2017-06-28 2021-01-06
122 CASH Wealth Management Limited Yang Kwai Leung -Rep 2020-04-06 2021-01-05
123 CATHAY SECURITIES (HONG KONG) LIMITED Huang Siyang (SFC:BQP743) +Rep 2021-01-07
124   Lien Hsiang Pu -Rep 2019-09-19 2020-12-31
125 Cavalry Management Asia, Limited Frank Geoffrey Campbell +RO 2021-01-12
126   Yun Chong-Long +RO 2021-01-12
127 CCB INTERNATIONAL ASSET MANAGEMENT LIMITED Mu Zejun -Rep 2019-01-29 2020-12-31
128 CCB INTERNATIONAL CAPITAL LIMITED Lee Clement Lok Hin -Rep 2019-01-28 2020-12-31
129   Ning Qianyang +Rep 2021-01-05
130 CCB INTERNATIONAL SECURITIES LIMITED Lam Hok Hoi -RO 2015-01-29 2020-12-31
131   Li Yue (SFC:BIN442) -Rep 2017-11-16 2020-12-31
132 CDH INVESTMENTS MANAGEMENT (HONG KONG) LIMITED Shang Xiaojun -RO 2011-09-27 2020-12-31
133 CEB International Capital Corporation Limited Sun Jie (SFC:BBY954) -Rep 2017-09-27 2021-01-08
134 CELESTIAL COMMODITIES LIMITED Chau Chin Pang -Rep 2020-12-31
135 CELESTIAL SECURITIES LIMITED   -Rep 2020-12-31
136   Nip Yau Ming -Rep 2004-04-07 2020-12-31
137 Central China International Futures Company Limited Dai Luqian -Rep 2018-08-02 2021-01-11
138 Central China International Securities Co., Limited   -Rep 2018-08-02 2021-01-11
139   Sun Kangning -Rep 2016-09-01 2021-01-10
140 Central Universe Futures Limited Li Hui (SFC:AYY608) +Rep 2021-01-05
141 CENTRAL WEALTH SECURITIES INVESTMENT LIMITED Lau Wun Shan +Rep 2020-12-31
142 Cephei Capital Management (Hong Kong) Limited Wang Yi (SFC:BBC899) -RO 2018-01-05 2021-01-06
143   Wu Andrew Kai -RO 2019-08-15 2021-01-06
144 Changchun Securities Limited Chen Chang (SFC:BQC233) -Rep 2020-10-12 2020-12-31
145 CHIEF SECURITIES LIMITED Ma Chun Ki -Rep 2020-07-07 2021-01-08
146   Mok Wai Fan +Rep 2021-01-12
147 China Asset Management (Hong Kong) Limited Chow Apollo Chung -Rep 2019-03-15 2021-01-06
148   Huang Hengheng -RO 2017-10-04 2020-12-31
149   Wang Haili (SFC:BQQ575) +Rep 2021-01-13
150 CHINA EVERBRIGHT SECURITIES (HK) LIMITED Ip Ka Yeung +Rep 2021-01-13
151   Ma Kai (SFC:ANU813) +Rep 2021-01-12
152   Wong William Koon Wei +Rep 2021-01-04
153   Zhang Jianjiao +Rep 2021-01-08
154 CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED Ma Kai (SFC:ANU813) +Rep 2021-01-12
155 China Finance KAB Limited Zeng Yanling +Rep 2021-01-04
156 China Galaxy International Futures (Hong Kong) Co., Limited Chau Chin Pang +Rep 2021-01-06
157 China Galaxy International Securities (Hong Kong) Co., Limited   +Rep 2021-01-06
158 China Gather Wealth Financial Company Limited Lee Au Lai Ming -Rep 2005-04-01 2020-12-30
159 CHINA GLORY SECURITIES COMPANY LIMITED Yeung Ho Lin Colin -Rep 2020-09-30 2021-01-12
160     +RO 2021-01-12
161 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED Chan Yin Fan -Rep 2017-09-18 2021-01-04
162 CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED Chong Peter Ping Leong -Rep 2017-06-22 2020-12-31
163   Fu Joanne Shuk Man -Rep 2018-10-19 2020-12-31
164   Huang Wenjun -Rep 2018-06-19 2020-12-31
165   Tu Min +Rep 2021-01-12
166   Yuen Chu Ping -Rep 2015-02-09 2021-01-04
167 CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED Fong Chun Fai -RO 2020-05-29 2020-12-31
168 CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED Chong Peter Ping Leong -Rep 2017-09-18 2020-12-31
169 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED Chau Che Huen +Rep 2021-01-06
170   Gao Yunlong (SFC:AZB069) -RO 2016-09-30 2020-12-31
171   Wu Bangxian +Rep 2020-12-30
172 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED   +Rep 2020-12-30
173   Zhu Jieyi +Rep 2021-01-06
174 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED He Yuanyuan +Rep 2020-12-31
175   Hu Jiaming (SFC:BGF975) -Rep 2015-09-15 2020-12-30
176   Li Jiaqi (SFC:BQP723) +Rep 2020-12-31
177   Liu Yang (SFC:BQP881) +Rep 2021-01-06
178   Lu Ruochen -Rep 2014-09-19 2021-01-04
179   Wong Siu Hin +Rep 2021-01-05
180   Wu Bangxian +Rep 2020-12-30
181   Xie Wenxi +Rep 2021-01-11
182   Zhang Hongtao (SFC:BQQ481) +Rep 2021-01-11
183   Zhang Yuanyun +Rep 2021-01-05
184   Zhu Jieyi +Rep 2021-01-06
185 CHINA MERCHANTS FUTURES (HK) CO., LIMITED Fong Ronnie Chi Chuen -Rep 2020-10-05 2020-12-31
186   Lin Wenyi +Rep 2021-01-07
187   Liu Jingran +Rep 2021-01-05
188   Ng Wang Chiu +Rep 2021-01-06
189 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Fong Ronnie Chi Chuen -Rep 2020-10-05 2020-12-31
190   Lin Wenyi +Rep 2021-01-07
191   Liu Jingran +Rep 2021-01-05
192   Ng Wang Chiu +Rep 2021-01-06
193 CHINA ON GLOBAL CAPITAL GROUP LIMITED Kung Tin Yau -RO 2020-10-05 2020-12-31
194   Pang Andrew Leung Wai -Rep 2020-12-28 2021-01-05
195     +RO 2021-01-05
196 China PA Securities (Hong Kong) Company Limited Heung Ho Pong +Rep 2020-12-30
197 China Re Asset Management (Hong Kong) Company Limited Lei Shuyu -Rep 2015-11-16 2021-01-09
198 China Securities (International) Brokerage Company Limited Tsang Ka Wai (SFC:AYC270) +Rep 2020-12-31
199   Zhang Kun (SFC:BEO135) -Rep 2014-11-28 2021-01-11
200   Zhang Lunke -Rep 2020-07-30 2021-01-08
201 China Southern International Limited Wong Ho Chuen (SFC:ARO917) -Rep 2018-08-29 2021-01-11
202     +RO 2021-01-11
203   Wong Michael Sheh Chung +Rep 2021-01-04
204   Wong Sheh Hee Herman +Rep 2021-01-04
205 China Tonghai Securities Limited Au Tik Sun -Rep 2020-12-17 2021-01-07
206   Chan Oscar Yui Pang -Rep 2020-09-17 2020-12-31
207     +RO 2020-12-31
208 China Vered Asset Management (Hong Kong) Limited Liu Zhe (SFC:BOU144) -Rep 2020-11-24 2021-01-04
209   Yu Liang (SFC:BQM630) +Rep 2021-01-05
210 China Vered Securities Limited Yang Lei (SFC:BCY602) -RO 2020-07-27 2020-12-31
211 CHINA ZHONG HENG FINANCE GROUP LIMITED Liu Cheng Yi -RO 2020-09-21 2021-01-06
212 Chocolate Asset Management Limited Williamson Peter George +Rep 2021-01-11
213 CHOW SANG SANG FUTURES LIMITED Lee Toby Wing Keung -RO 2019-01-16 2020-12-31
214 Chuenman Securities Limited Chong Ka Fai -Rep 2019-03-21 2021-01-08
215 CHUNG LEE SECURITIES COMPANY LIMITED Lee Sing Wing -RO 2020-02-21 2021-01-04
216 CITIC Securities Brokerage (HK) Limited Chen Sisi (SFC:BFK206) +Rep 2021-01-06
217   Lam Ka Wun Gary -Rep 2014-04-09 2021-01-08
218   Lam Man Wai (SFC:AZF840) +Rep 2021-01-06
219   Liu Fang (SFC:BDY735) -Rep 2014-08-11 2021-01-05
220   Yang Fan (SFC:BEF935) -Rep 2014-09-30 2021-01-11
221 CITIC Securities Futures (HK) Limited Chen Sisi (SFC:BFK206) +Rep 2021-01-06
222   Lam Man Wai (SFC:AZF840) +Rep 2021-01-06
223 Citigroup Global Markets Asia Limited Chang Shu-Wei -Rep 2008-07-02 2021-01-11
224   Chen Ying (SFC:BQN184) +Rep 2021-01-04
225   Cheung Ming (SFC:ABT543) -Rep 2015-07-14 2020-12-31
226   Corones Zachary Alexander -Rep 2019-11-14 2021-01-13
227   Jiang Joshua Wenbo +Rep 2021-01-08
228   King Yueh Hann -Rep 2020-12-31
229   Li Chi Keung (SFC:ACJ141) -Rep 2020-12-31
230   Li Jing (SFC:ARI941) -Rep 2018-07-27 2021-01-01
231   Li Monica Wing Yee -Rep 2009-07-21 2020-12-31
232   Lu Wei (SFC:BNF423) -Rep 2018-07-25 2021-01-05
233   McQueen Lee Michael +Rep 2021-01-05
234   Rolfe Roland Christopher (SFC:AVI388) +Rep 2021-01-08
235   Wan Lewis King Sun -Rep 2004-07-21 2020-12-31
236   Wang Chu (SFC:BQO707) +Rep 2021-01-06
237   Wang Kuo Liang -Rep 2008-07-04 2020-12-31
238   Wong Antonio Lung Man -Rep 2020-12-31
239   Yoon Young Il +Rep 2021-01-08
240 CITRUS SECURITIES LIMITED Loong Fei Wan +RO 2021-01-08
241   Tang Ye +RO 2021-01-08
242 CLC International Limited Kwong Ka Leung +Rep 2021-01-05
243 CLC SECURITIES LIMITED Ma Rujun +Rep 2021-01-05
244 CLSA Asset Management Limited Liu Xinguo (SFC:BOD325) -Rep 2021-01-05 2021-01-07
245     +RO 2021-01-07
246   Shao Tianyi +Rep 2021-01-06
247 CLSA Capital Markets Limited Gu Shiyi -Rep 2017-09-11 2020-12-31
248   He Jiaozi -Rep 2020-04-14 2021-01-04
249   Lai Siu Fung +Rep 2021-01-04
250   Miao Cheng Ying +Rep 2021-01-11
251   Silvano Randa Bangun -Rep 2018-03-01 2020-12-31
252   Zhou Shufan +Rep 2021-01-11
253 CLSA Capital Partners (HK) Limited Qian Haochen -Rep 2021-01-07 2021-02-10
254 CLSA LIMITED Gu Shiyi -Rep 2017-09-11 2020-12-31
255   He Jiaozi -Rep 2020-04-14 2021-01-04
256   Lai Siu Fung +Rep 2021-01-04
257   Li Xiang (SFC:BDP861) +Rep 2021-01-05
258   Miao Cheng Ying +Rep 2021-01-11
259   Silvano Randa Bangun -Rep 2018-03-01 2020-12-31
260   Uchiyama Hirotaka -Rep 2017-10-31 2020-12-31
261   Ved Premal Gopaldas -Rep 2018-03-07 2021-01-06
262   Zhou Shufan +Rep 2021-01-11
263 CMB International Securities Limited Wang Bingjie -Rep 2019-06-17 2021-01-08
264 CMBC ASSET MANAGEMENT COMPANY LIMITED Li Guanda +Rep 2021-01-07
265   Yu Dalin -RO 2019-01-30 2021-01-12
266 CMBC International Capital Limited Zhou You (SFC:BHG937) +Rep 2021-01-04
267 CMBC INTERNATIONAL FUTURES COMPANY LIMITED So Kwok Kwan -Rep 2018-01-29 2020-12-31
268 CMBC SECURITIES COMPANY LIMITED   -Rep 2018-01-29 2020-12-31
269   Yu Dalin -Rep 2019-08-20 2021-01-12
270   Zhou You (SFC:BHG937) +Rep 2021-01-04
271 CMH Capital Co., Limited Wu Jonathan Sheung Kai -RO 2015-02-24 2021-01-11
272     +Rep 2021-01-11
273 CMS ASSET MANAGEMENT (HK) CO., LIMITED Zhang Rui (SFC:BQB519) -Rep 2020-09-09 2021-01-04
274     +RO 2021-01-04
275   Zhao Zefen +Rep 2020-12-31
276 CMS CAPITAL (HK) CO., LIMITED Mao Yunjun +Rep 2021-01-05
277 CNI Global Assets Management Limited (HK) Fox Robin Jonathan Gibbs +Rep 2021-01-04
278 CNI GLOBAL CAPITAL LIMITED Brewer James Christopher +Rep 2021-01-05
279 CNI Securities Group Limited Zhang Miao (SFC:BOX399) +Rep 2021-01-11
280 COLLER CAPITAL (HONG KONG) LIMITED Han Ji Eun +Rep 2021-01-13
281 Conning Asia Pacific Limited Li Bo (SFC:BPD375) -Rep 2020-09-14 2020-12-31
282 CORNERSTONE ASSET MANAGEMENT LIMITED Kwok Felix Wing Ho -RO 2020-05-08 2021-01-12
283 CORNERSTONE SECURITIES LIMITED   -RO 2016-08-24 2021-01-12
284 CORPORATE BROKERS LIMITED Chan Chi Cheung (SFC:ACQ786) +Rep 2021-01-11
285   Ng Shiu Ki (SFC:AAC791) -RO 2004-05-07 2020-12-31
286     +Rep 2020-12-31
287 CORPORATE COMMODITIES LIMITED   -RO 2014-09-30 2020-12-31
288     +Rep 2020-12-31
289 CORRINGTON SECURITIES & INVESTMENT LIMITED Chan Kam Cheung -Rep 2015-08-21 2020-12-31
290   Ng Tsz Kin -RO 2016-12-13 2020-12-31
291 Credit Suisse (Hong Kong) Limited Chen Yow Bang -Rep 2008-05-08 2021-01-11
292   Chui Yuk Ming -Rep 2018-04-10 2020-12-31
293   Chung Nicholas +Rep 2021-01-08
294   Lokesh Lekith Kumar Chikanayak -Rep 2019-01-24 2021-01-04
295     +RO 2021-01-04
296   Wang Can (SFC:BNT143) -Rep 2018-11-01 2020-12-31
297   Yang Sikai +Rep 2021-01-04
298   Yin Chenggong +Rep 2021-01-06
299 Credit Suisse Securities (Hong Kong) Limited Chui Yuk Ming -Rep 2018-04-10 2020-12-31
300   Yin Chenggong +Rep 2021-01-06
301 CSFG International Asset Management Limited Yu Bernard Shui Sang -RO 2018-06-13 2021-01-03
302 CSFG International Securities Limited   -RO 2020-11-25 2021-01-03
303 CSI Global Markets Limited Lam Ka Wun Gary -Rep 2017-06-26 2021-01-08
304   Luk Kwun Hei +Rep 2021-01-12
305   Tseng Peter Wing Keung +Rep 2021-01-12
306   Yang Lujia -Rep 2018-05-18 2021-01-11
307 CSI Partners HK Limited Qian Haochen -Rep 2019-06-25 2020-12-30
308   Shen Gujing -Rep 2016-04-12 2020-12-30
309   Zhang Hongyi (SFC:BIZ596) -Rep 2017-02-14 2020-12-30
310 CSOP Asset Management Limited Zhang Jiaying (SFC:BNN287) -Rep 2018-09-13 2020-12-31
311 CTW SECURITIES LIMITED Leung C Jun Christopher -Rep 2020-05-22 2021-01-01
312 D. E. Shaw & Co. (Asia Pacific) Limited Kim Yeun Joo +Rep 2021-01-04
313 DA International Asset Management Limited Ho Ting Fung (SFC:BHS033) -Rep 2020-10-29 2020-12-30
314     +RO 2020-12-30
315 Daiwa Capital Markets Hong Kong Limited Nie Zhuofei +Rep 2021-01-04
316 DBS VICKERS (HONG KONG) LIMITED Chui Man Nga -Rep 2016-06-06 2021-01-10
317 DELOITTE & TOUCHE CORPORATE FINANCE LIMITED Kwong Ping Keung -RO 2021-01-01
318 DEUTSCHE SECURITIES ASIA LIMITED Ge Guanhong -Rep 2017-09-29 2020-12-31
319   Moreira Nicholas Hubert -RO 2012-12-13 2021-01-05
320 Diamond Head Capital Asset Management (HK) Limited Kwan Warren Lai On -RO 2017-07-11 2021-01-03
321 DL SECURITIES (HK) LIMITED Wang Yan (SFC:BOA764) +Rep 2021-01-11
322   Xu Tiantian (SFC:BJR785) -Rep 2020-11-19 2021-01-11
323     +RO 2021-01-11
324 Dongxing Securities (Hong Kong) Asset Management Company Limited Guo Chaofeng -Rep 2020-12-03 2021-01-04
325     +RO 2021-01-04
326 Dongxing Securities (Hong Kong) Company Limited Wong Brenda Yin Kwan -RO 2017-07-18 2020-12-31
327 Double Haven Capital (Hong Kong) Limited Bahra Kanwaljit Singh -RO 2018-07-12 2020-12-31
328   Brennan Martin (SFC:AHN339) -Rep 2011-08-02 2020-12-31
329   Doud Thomas Andrew -RO 2012-09-11 2020-12-31
330   Lee Man Hon (SFC:AVC108) -Rep 2013-06-27 2020-12-31
331   McDade Richard William -Rep 2016-12-13 2020-12-31
332   Vaswani Arun Purushotam -Rep 2011-10-31 2020-12-31
333   Walter David Ronald James -Rep 2018-04-24 2020-12-31
334 DT Securities & Futures Co. Limited Mak Chun Yuen (SFC:BQL894) +Rep 2021-01-05
335 EAM Investment Advisors Limited Li Yisui -Rep 2020-06-24 2020-12-31
336 East Point Asset Management Limited Liu Zhenhua (SFC:BHT759) +RO 2021-01-06
337   Walsh Simon Hastings Patrick +RO 2021-01-06
338 Easy One Securities Limited Choy Yau Fai -RO 2016-08-31 2021-01-05
339 EASY SECURITIES LIMITED Liang Lihua -RO 2020-11-20 2021-01-04
340 Eddid Securities and Futures Limited Lin Xuanxuan +Rep 2021-01-08
341 ELLIOTT ADVISORS (HK) LIMITED Bayliss James Michael Edward -RO 2020-08-06 2020-12-31
342   Ciardi Francesco (SFC:BPV396) -RO 2020-09-17 2020-12-31
343   Nonnenmacher Sophie Sabine -RO 2020-08-04 2020-12-31
344   Yu Tao (SFC:BOC108) -Rep 2019-02-15 2020-12-31
345 EMINENCE ASSET MANAGEMENT (ASIA) LIMITED Martigny Florian Armand Julien -RO 2020-06-19 2020-12-31
346 Emperio Securities And Assets Management Limited Chan Man Sze (SFC:AZZ250) -Rep 2021-01-07 2021-01-28
347   Ho Chung Ming -Rep 2020-09-18 2021-01-12
348     +RO 2021-01-12
349 ENHANCED INVESTMENT PRODUCTS LIMITED Chau Ka Yue Kenneth +Rep 2021-01-05
350 Enhanced Securities Limited Lo Christopher Tak Hung -Rep 2016-06-17 2021-01-07
351     +RO 2021-01-07
352 Epiphany Asset Management (HK) Limited Liao Wei (SFC:AYJ548) -Rep 2019-03-01 2020-12-31
353 EQT Partners Asia Limited Mok Martin Kwan Ting -RO 2009-11-23 2020-12-31
354 Essence Futures (Hong Kong) Limited Ma Ming Chun -Rep 2013-07-11 2020-12-30
355     +RO 2020-12-30
356 Essence International Securities (Hong Kong) Limited Feng Jinyi (SFC:AXZ592) -Rep 2011-09-30 2020-12-30
357     +RO 2020-12-30
358   Ma Ming Chun -Rep 2013-07-11 2020-12-30
359     +RO 2020-12-30
360 Eurizon Capital Asia Limited Man Ka Ming (SFC:BBT494) +Rep 2020-12-30
361 EVENSTAR ADVISORS LIMITED Yu Bai Daniel -Rep 2018-09-20 2020-12-31
362 Ever-Long Capital Management Limited (b2014-01-15) Cheng Kai-Jen +Rep 2021-01-08
363   Lai Kwan Pak -Rep 2018-07-30 2021-01-04
364     +RO 2021-01-04
365 Evercore Asia Limited Leviseur David William Hugo -Rep 2015-03-16 2020-12-31
366 ExodusPoint Capital Management Hong Kong, Limited Li Wei (SFC:BIC106) +Rep 2020-12-31
367   Weng Tao +Rep 2021-01-04
368 FAIRY AMBITION LIMITED Chan Lawrance Chun Kit +RO 2021-01-05
369 Feifan Asset Management Co., Limited Xue Wanhua -RO 2020-01-24 2020-12-31
370 FIL Investment Management (Hong Kong) Limited So Ka Wai (SFC:BNC194) -Rep 2018-07-25 2021-01-13
371 First Capital International Finance Limited Shang Lei (SFC:BNH677) -Rep 2018-11-12 2021-01-12
372 First Ocean Asset Management Company Limited (b2004-07-23) Ma Di (SFC:BNB075) -RO 2020-09-02 2020-12-31
373   Wang Yan (SFC:BOA764) -Rep 2020-05-12 2021-01-04
374 First Ocean Capital Company Limited Ma Di (SFC:BNB075) -Rep 2019-08-20 2020-12-31
375   Wang Yan (SFC:BOA764) -Rep 2020-05-12 2021-01-04
376 FIRST SECURITIES (HK) LIMITED Kuo Shu Chen (SFC:BIV833) -Rep 2017-12-12 2021-01-01
377 FIRST SHANGHAI CAPITAL LIMITED Lu Yunfei (SFC:BQO614) +Rep 2021-01-04
378 FIRST SHANGHAI FUTURES LIMITED Mak Tin Yan -Rep 2018-07-19 2021-01-10
379   Sung Wai Kei -Rep 2019-09-27 2021-01-03
380 FIRST SHANGHAI SECURITIES LIMITED Ding Shen -Rep 2018-01-15 2020-12-31
381   Mak Tin Yan -Rep 2018-07-19 2021-01-10
382   Sung Wai Kei -Rep 2019-09-27 2021-01-03
383 FLOW TRADERS HONG KONG LIMITED Quinn Mitchell Douglas +Rep 2021-01-05
384 FORTUNE (HK) SECURITIES LIMITED Lok Ka Fai (SFC:AYL132) -RO 2018-12-13 2021-01-13
385 FORTUNE FINANCIAL CAPITAL LIMITED   -RO 2020-04-16 2021-01-13
386 Fosun Hani Securities Limited Lai Pei Chung -Rep 2020-10-30 2020-12-31
387 Founder Securities (Hong Kong) Capital Company Limited Wang Xiao (SFC:BGK625) -Rep 2018-07-04 2020-12-31
388   Wong Sai Fu -RO 2018-06-01 2020-12-31
389 FOUNDER SECURITIES (HONG KONG) LIMITED Wang Xiao (SFC:BGK625) -Rep 2017-08-29 2020-12-31
390 FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED Browning Mark Banks -RO 2007-01-05 2020-12-31
391 FRONTIER CAPITAL MANAGEMENT LIMITED (HK) Lo Wai Lun -Rep 2020-11-24 2021-01-04
392 FUBON SECURITIES (HONG KONG) LIMITED Chen Hsiu-Hsiu +Rep 2021-01-12
393   Hsieh Pei-Chun -Rep 2019-06-20 2020-12-31
394   Huang Lingwen -Rep 2020-08-03 2020-12-31
395   Lin Chun-Chi -RO 2019-06-05 2020-12-31
396   Shi Yanguan -Rep 2019-09-06 2020-12-31
397 FULBRIGHT SECURITIES LIMITED Yu Kar Po -Rep 2008-04-22 2020-12-31
398 FULLGOAL ASSET MANAGEMENT (HK) LIMITED Guo Sijing -Rep 2014-04-09 2021-01-12
399 Funderstone Futures Limited Cheung Jeffrey Kwok On +Rep 2021-01-08
400 Funderstone Securities Limited   +Rep 2021-01-08
401 Futu Securities International (HONG KONG) Limited Chen Yunyu +Rep 2021-01-06
402 FWD Financial Planning Limited (HK) Yung Shu Ho Alex +Rep 2021-01-12
403 Gamma Consortium Limited (The) Dias Richard Percival -RO 2017-12-27 2021-01-01
404 GCI Asset Management, HK Limited Mullapudi Hari Kiran +Rep 2021-01-06
405 Generations Partners Company Limited Li Yucai +Rep 2021-01-04
406 Genesis Capital Group Limited (HK) Sze-To Hang -Rep 2019-03-22 2020-12-31
407 GET NICE SECURITIES LIMITED Chan Lap Chun +Rep 2021-01-04
408   So Eley Wing Hung +Rep 2021-01-04
409 GF Asset Management (Hong Kong) Limited Ye Yong (SFC:AOB368) +RO 2021-01-07
410 GF Capital (Hong Kong) Limited Chen Liguo -Rep 2018-12-21 2020-12-31
411   Huang Sike +Rep 2021-01-11
412   Xu Sihan +Rep 2020-12-31
413 GF FUTURES (HONG KONG) CO., LIMITED Tan Derrick Wie Hon -Rep 2013-03-11 2020-12-30
414 GF International Investment Management Limited Dai Yuqing -Rep 2019-10-18 2021-01-06
415 GF Securities (Hong Kong) Brokerage Limited Chan Fai Shing +Rep 2021-01-13
416   Qiu Changwei -Rep 2019-03-01 2021-01-08
417   Tan Derrick Wie Hon -Rep 2013-03-11 2020-12-30
418   Xu Sihan +Rep 2020-12-31
419 GFI (HK) SECURITIES L.L.C. Lougare Thibaud Jean-Marie -Rep 2020-03-20 2021-01-12
420 Glory Sun Securities Limited Ng Ka Sing +Rep 2020-12-30
421   Pan Kin Ming +Rep 2021-01-11
422 GOING INTERNATIONAL (HK) FINANCIAL GROUP LIMITED Chow Kwun Hung +RO 2020-12-30
423   Wong Kin Pong (SFC:AJN217) +RO 2020-12-30
424 Golden Asset Management Co., Limited Mak Pui Yee (SFC:BQM362) +Rep 2021-01-06
425 GOLDHORSE CAPITAL MANAGEMENT (HK) LIMITED Xia Yue (SFC:BQN163) +Rep 2021-01-12
426 GOLDMAN SACHS (ASIA) L.L.C. Cumming Fiona Joy -Rep 2013-07-31 2021-01-01
427   Fu Ning +Rep 2021-01-11
428   Koll Kathy Mitsuko -Rep 2010-03-09 2021-01-11
429   Ooi Wei Ming (SFC:BNX372) -Rep 2018-12-11 2021-01-01
430   Wang Yunyi -Rep 2021-01-08 2021-02-04
431   Zhong Hongda +Rep 2021-01-08
432 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Fu Ning +Rep 2021-01-11
433 Goldman Sachs Asset Management (Hong Kong) Limited Chen Tianyun -Rep 2019-05-30 2021-01-06
434   Messier Gerald -Rep 2018-03-07 2021-01-09
435 Grace Financial Limited (HK) Chia Kok Onn -RO 2011-06-16 2020-12-31
436 Grand Moore Capital Limited Zhou You (SFC:BHG937) -Rep 2018-01-10 2021-01-04
437 GRANSING SECURITIES CO., LIMITED Wong Tsz Pan (SFC:AMU162) +Rep 2021-01-08
438 Great Wall Pan Asia Asset Management Limited Li Qi (SFC:AGM782) -RO 2018-03-23 2020-12-31
439   Liao Jie (SFC:BQH159) +Rep 2021-01-06
440 GREATER BAY ASSET MANAGEMENT LIMITED Ma Xinyu -Rep 2018-12-19 2020-12-31
441 GREATER BAY SECURITIES LIMITED   -Rep 2018-10-25 2020-12-31
442 Green Harmony Securities Limited Xiong Yun -Rep 2019-10-23 2021-01-07
443     +RO 2021-01-07
444 Green Park Financial Co., Limited Chu Wah Cheung -Rep 2020-12-11 2021-01-05
445     +RO 2021-01-05
446   Leung Tat Lung -RO 2019-12-17 2020-12-31
447 GSA Capital Partners (Hong Kong) Limited Spence Kevin (SFC:BOH486) -RO 2019-08-15 2020-12-31
448 Guosen Securities (HK) Brokerage Company, Limited Lau Ka Yi -Rep 2020-12-08 2021-01-11
449   Zhao Yifan (SFC:BNG821) -Rep 2019-09-30 2021-01-08
450 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED Liang Yuxuan -Rep 2018-12-07 2020-12-31
451   Song Jiaying (SFC:BDY877) -Rep 2017-02-23 2021-01-04
452   Zhang Chonghui -Rep 2019-01-29 2020-12-31
453 GUOTAI JUNAN CAPITAL LIMITED Duan Yanni -Rep 2020-03-16 2021-01-05
454   Hui Hin Long -Rep 2017-09-15 2021-01-07
455   Sheng Chen (SFC:BQO794) +Rep 2020-12-30
456   Yu Chenkai -Rep 2019-12-06 2020-12-31
457 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED Cheng Siu Wa (SFC:ADG364) +Rep 2021-01-11
458   Lau Tsz Hung -Rep 2019-04-16 2021-01-10
459   Wan Lu -Rep 2019-09-09 2021-01-07
460   Wang Weiwei (SFC:BMU905) -Rep 2018-04-20 2020-12-31
461 Guotai Junan FX Limited Lau Tsz Hung -Rep 2020-12-16 2021-01-10
462 GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED Cheng Siu Wa (SFC:ADG364) +Rep 2021-01-11
463   Chung Wai Pan -Rep 2017-11-16 2020-12-31
464   Lau Tsz Hung -Rep 2019-04-16 2021-01-10
465   Wan Lu -Rep 2019-08-09 2021-01-07
466   Wang Weiwei (SFC:BMU905) -Rep 2018-04-20 2020-12-31
467   Yang Yongqing -Rep 2019-07-10 2021-01-04
468   Yu An Li -Rep 2020-12-07 2020-12-30
469 GUOYUAN FUTURES (HONG KONG) LIMITED Du Qingwen -Rep 2019-10-22 2020-12-31
470 GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED   -Rep 2019-10-22 2020-12-31
471 Haitong Futures Hong Kong Limited Wong Fish Yuk Yu -RO 2019-06-21 2021-01-13
472 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED Zhu Diyi -Rep 2017-10-04 2021-01-05
473 HAITONG INTERNATIONAL CAPITAL LIMITED Xie Xinxin +Rep 2021-01-04
474 HAITONG INTERNATIONAL FUTURES LIMITED Chan Kwong Hoi -Rep 2019-08-14 2021-01-13
475   Cheung Chun Kit (SFC:APO195) -Rep 2007-09-04 2021-01-08
476   Chung Dennis Wei Chiu -Rep 2020-09-10 2021-01-06
477   Fu Xiaoqing -Rep 2015-07-15 2020-12-31
478   Tse Sheung Ming Darren +Rep 2021-01-11
479 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED Zhu Diyi -Rep 2017-10-04 2021-01-05
480 HAITONG INTERNATIONAL RESEARCH LIMITED Leung Billy Ka Wai -Rep 2016-04-01 2021-01-08
481   Sun Miaoling +Rep 2021-01-13
482   Zong Bo +Rep 2020-12-31
483 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Chan Elton Ngok Yan -Rep 2020-01-16 2021-01-05
484   Chan Kwong Hoi -Rep 2019-08-14 2021-01-13
485   Cheung Chun Kit (SFC:APO195) -Rep 2007-09-04 2021-01-08
486   Chung Dennis Wei Chiu -Rep 2020-09-10 2021-01-06
487   Fu Xiaoqing -Rep 2014-02-24 2020-12-31
488   Kwan Chun Liang Nicholas -Rep 2019-07-26 2020-12-31
489   Ng Wai Lam William -Rep 2020-10-09 2021-01-08
490   Tse Sheung Ming Darren +Rep 2021-01-11
491   Xie Xinxin +Rep 2021-01-04
492 HakuCapital Global Investment Advisers Limited Broomhead Robert Peter -Rep 2019-07-25 2020-12-31
493   Lam Fong Tat -Rep 2020-04-21 2020-12-31
494 HAMON ASIAN ADVISORS LIMITED Tsang Kwok Yuk +Rep 2020-12-31
495 HANG SENG INVESTMENT MANAGEMENT LIMITED Chan Sau Ying (SFC:BAY074) -Rep 2013-03-04 2020-12-30
496   Tang Kai Wing (SFC:BAB779) -Rep 2020-10-29 2021-01-03
497   Yee Wing Ka -Rep 2013-08-23 2020-12-30
498 HANTEC FUTURES LIMITED Leung Yu Hin (SFC:AZX593) -Rep 2018-05-30 2020-12-31
499 HANTEC SECURITIES CO., LIMITED   -Rep 2018-05-30 2020-12-31
500 Harmonia Capital Limited Ho Hoi Shan -Rep 2020-07-10 2020-12-31
501 HARTFORD CAPITAL LIMITED Zhou Fangyu +Rep 2021-01-11
502 HBM Partners Hong Kong Limited Chen Steve Shuo +RO 2021-01-07
503   Chen Xin (SFC:AUF158) +RO 2021-01-07
504 HEAD & SHOULDERS SECURITIES LIMITED Lo Cho Ying -Rep 2018-06-26 2020-12-31
505 Hermitage Capital HK Limited Chen Ronghua (SFC:BBD166) -RO 2018-03-28 2021-01-05
506 HEUNGKONG CAPITAL LIMITED Leung Ching Fai -Rep 2019-12-13 2020-12-31
507 HEUNGKONG SECURITIES LIMITED   -Rep 2020-01-08 2020-12-31
508 HF Asset Management Limited (HK) Cheng Patrick Chi Kin -RO 2020-11-02 2021-01-13
509 HF Securities and Futures Limited   -Rep 2020-11-02 2021-01-13
510   Liu Christina Lai Sum -RO 2020-11-02 2020-12-31
511 Holly International Asset Management Company Limited Wu Ngai Pan -RO 2019-05-07 2020-12-31
512 Holly International Financial Holdings Limited   -RO 2017-11-17 2020-12-31
513 Hope Chain Asset Management Co., Limited Fu Yuen Lam +Rep 2021-01-04
514 HSBC BROKING FOREX (ASIA) LIMITED Ho Tin Lai -Rep 2016-03-10 2020-12-31
515 HSBC BROKING FUTURES (ASIA) LIMITED   -Rep 2015-10-27 2020-12-31
516 HSBC BROKING SECURITIES (ASIA) LIMITED Cheung Kam Wai (SFC:BQN782) +Rep 2021-01-05
517   Ho Tin Lai -Rep 2015-10-27 2020-12-31
518 HSBC Corporate Finance (Hong Kong) Limited Gao Zhongyuan (SFC:BNU678) -Rep 2018-12-05 2021-01-12
519   He Ranchong -Rep 2020-03-24 2021-01-08
520   Lam Yat Shing Kenny -Rep 2019-10-04 2020-12-31
521 HSBC Global Asset Management (Hong Kong) Limited Pang Chung Shia Jacqueline +Rep 2021-01-12
522 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED   +Rep 2021-01-12
523 HTF Securities Limited Yeung Chi Hang (SFC:AOK041) -Rep 2021-01-04 2021-02-11
524 Hua Rui Capital Limited Chu Tai Wai +RO 2021-01-05
525   Tang Kin Chor +RO 2021-01-05
526 HUA YU INVESTMENT MANAGEMENT LIMITED Ma Chun Fai -Rep 2015-07-03 2020-12-31
527 HUAJIN SECURITIES (INTERNATIONAL) LIMITED Liu Miao (SFC:BAK406) -Rep 2015-12-31 2021-01-04
528 Huarong International Securities Limited Liu Xiguang (SFC:BQD597) -RO 2021-01-06 2021-02-09
529 Huatai (Hong Kong) Futures Limited Tang Hon Sum -Rep 2019-08-01 2021-01-12
530 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Chen Dong (SFC:BQO797) +Rep 2020-12-30
531   Li Yi Sum +Rep 2021-01-07
532   Lin Huanyu +Rep 2020-12-30
533   Lu Wenyu +Rep 2020-12-30
534   Tian Lei (SFC:BPK390) +Rep 2021-01-05
535   Tu Kehan +Rep 2020-12-30
536   Yao Jack Hsin-Chou +Rep 2021-01-05
537   Yao Peirong +Rep 2020-12-30
538 Huge Asset Management Limited Sin Kit Fung -Rep 2020-03-11 2021-01-07
539 Hywin Asset Management (Hong Kong) Limited Fang Chih To +Rep 2021-01-11
540 I-ACCESS INVESTORS LIMITED Lui Kam Sing +Rep 2021-01-08
541 IAM LEGACY LIMITED Chan Lok Man (SFC:BMO599) -Rep 2018-09-26 2020-12-30
542 ICAP Securities Hong Kong Limited Poix Arnaud Bernard Fabrice Noel +RO 2021-01-05
543 ICBC Credit Suisse Asset Management (International) Company Limited Sun Derrick -RO 2020-08-27 2021-01-11
544   Wang Yang (SFC:BPM753) +RO 2021-01-05
545 ICBC INTERNATIONAL FUTURES LIMITED Bai Yuyang -Rep 2019-12-09 2021-01-08
546 ICBC INTERNATIONAL SECURITIES LIMITED   -Rep 2019-12-09 2021-01-08
547 Imagi Brokerage Limited Lim Kadir Jia Ping +Rep 2021-01-08
548 Income Partners Asset Management (HK) Limited Tang Lorraine Lai Shim -Rep 2020-12-31
549 INDUS CAPITAL ADVISORS (HONG KONG) LIMITED Velakacharla Siddharth -RO 2009-08-06 2021-01-01
550 INFINI CAPITAL MANAGEMENT LIMITED Huang Shangting +Rep 2021-01-12
551 Infinitus Partners Asset Management Limited Au Ka Ho Jeffrey -Rep 2018-04-18 2020-12-30
552     +RO 2020-12-30
553   Yeung Chun Man (SFC:ANP664) -RO 2019-06-14 2020-12-31
554 INFINITY ASSET MANAGEMENT LIMITED Ng Raymond Ying Wang -Rep 2020-11-16 2021-01-06
555     +RO 2021-01-06
556   Yu Lu (SFC:BQN201) +Rep 2021-01-13
557 INFORE CAPITAL MANAGEMENT (HONG KONG) COMPANY LIMITED Shi Wei (SFC:BIA163) -RO 2016-10-11 2020-12-31
558 Inheliance Asset Management Limited Fang Qiuyan -RO 2020-04-29 2021-01-09
559   Wang Juejun -Rep 2019-09-30 2021-01-11
560 Interactive Brokers Hong Kong Limited Wu Pik Yan +Rep 2020-12-30
561 INVESCO ASSET MANAGEMENT ASIA LIMITED Holland Greg Anthony -Rep 2021-01-05 2021-01-29
562 INVESCO HONG KONG LIMITED   -Rep 2021-01-05 2021-01-29
563 Investec Capital Asia Limited Cowney Nicholas Edward -Rep 2019-06-19 2020-12-31
564   Li Jason Sze Kwok +Rep 2021-01-04
565 IS Prime Hong Kong Limited Gao Qifan +Rep 2021-01-12
566 J.P. MORGAN BROKING (HONG KONG) LIMITED Lin Quan (SFC:BOE947) -Rep 2019-03-13 2021-01-01
567   Zhai Yanni -Rep 2017-08-08 2021-01-04
568 J.P. MORGAN SECURITIES (FAR EAST) LIMITED Yu Kaiyuan -Rep 2020-03-27 2021-01-05
569 JANE STREET HONG KONG LIMITED Gross William Michael -Rep 2014-12-23 2021-01-08
570   Moyen Saajid Ehsan -Rep 2017-02-03 2021-01-01
571 Janus Henderson Investors Hong Kong Limited Goldman Stephen Scott -Rep 2016-08-01 2020-12-30
572 JMC Capital HK Limited Kong Ming Fai -Rep 2020-10-16 2021-01-06
573     +RO 2021-01-06
574   Ouyang Jiejing -Rep 2019-06-27 2021-01-01
575 JPMorgan Asset Management (Asia Pacific) Limited Au Tsz Ki -Rep 2019-04-15 2020-12-30
576   Sau Long Sze +Rep 2020-12-31
577 JPMorgan Funds (Asia) Limited Au Tsz Ki -Rep 2018-03-06 2020-12-30
578   Sau Long Sze +Rep 2020-12-31
579   Wong Ho Man (SFC:BFT530) -Rep 2017-12-22 2021-01-08
580 K.K.M. SECURITIES LIMITED Yuen Tsze Yee -Rep 2021-01-06 2021-01-31
581 KARL-THOMSON COMMODITIES COMPANY LIMITED Wong Lawrence Kwok Keung +Rep 2020-12-30
582 KEYSTONE CAPITAL LIMITED (HK) Kwong Adrian +Rep 2021-01-06
583 KGI ASIA LIMITED Chan Eric Siu Ki +Rep 2020-12-30
584   Chan Sze Yuen +Rep 2021-01-07
585   Chao Evan -Rep 2018-06-13 2021-01-06
586   Ng Ka Yan (SFC:BQP735) +Rep 2021-01-07
587   Ng Kwai Fong -Rep 2017-10-03 2020-12-31
588 KGI Asset Management Limited Chua Kam Yi +Rep 2021-01-11
589 KGI FUTURES (HONG KONG) LIMITED Chan Sze Yuen +Rep 2021-01-07
590 KIM ENG SECURITIES (HONG KONG) LIMITED Ong Tiang Lock -Rep 2020-08-05 2021-01-08
591 KINGDOM INVESTMENT MANAGERS LIMITED Wu Simon Wing Hong +RO 2021-01-04
592 KINGKEY SECURITIES GROUP LIMITED Chan Shuk Fan (SFC:BOF446) -Rep 2019-06-14 2021-01-06
593 KINGSTON SECURITIES LIMITED Kwok Yin Fun (SFC:BPW820) -Rep 2020-11-04 2021-01-12
594 KOREA INVESTMENT & SECURITIES ASIA LIMITED Chan Raymond Siu Lun -Rep 2020-11-04 2021-01-04
595     +RO 2021-01-04
596   Seo Jangwon -Rep 2020-12-04 2020-12-30
597     +RO 2020-12-30
598 KTF CAPITAL MANAGEMENT LIMITED Hu Nian -RO 2019-01-10 2021-01-06
599 Lakeville Capital Management Limited Zhou Henry -Rep 2020-01-16 2020-12-31
600 Landmark Partners (Asia) Limited Alfeld Chad Steven +RO 2020-12-30
601   Parker Paul Edward (SFC:BQC337) +RO 2020-12-30
602   Wu Rebecca Yuan +RO 2020-12-30
603 LaSalle Investment Management Hong Kong Limited Fan David Ching -RO 2014-03-21 2020-12-31
604 Lazarus Asset Management Limited Stadelmann Cedric Pierre Andre -RO 2020-10-21 2021-01-01
605 LCA Solutions Limited Halim Steven -Rep 2012-08-13 2021-01-07
606 Legal & General Investment Management Asia Limited Peng David Hoantee -RO 2018-09-13 2020-12-31
607   So Paul Ho Ching -RO 2014-12-01 2020-12-31
608 Legg Mason Asset Management Hong Kong Limited Chan Pui Har -RO 2017-08-25 2020-12-31
609   Giuliano Brian Louis -Rep 2021-01-12 2021-01-14
610   Lu Shuyan (SFC:BNL573) -Rep 2019-10-24 2020-12-31
611 Lego Corporate Finance Limited Kong Yuk Yu +Rep 2021-01-06
612   Lung Tak Shing -Rep 2017-07-06 2021-01-01
613 LERTHAI Asset Management Limited Yang Shao Xing Max -Rep 2019-05-29 2020-12-31
614 LERTHAI Securities (Hong Kong) Limited   -Rep 2019-05-29 2020-12-31
615 Lianhe Ratings Global Limited Huang Chia-Chi -RO 2018-07-16 2020-12-31
616   Lee Kai Chung (SFC:BOL449) -Rep 2019-08-06 2020-12-31
617   Wong Joshua (SFC:BQO923) +Rep 2021-01-12
618 Lion Rock Capital Management Limited (HK) Lee Chun Hin (SFC:BIT239) -RO 2020-07-30 2021-01-01
619   Tian Yuanhui +Rep 2021-01-06
620 LMR Partners Limited Wong Hung Hing (SFC:BBU649) +Rep 2021-01-11
621 Long Bridge HK Limited Tu Haitao +Rep 2021-01-08
622 Look's Securities Limited Hui Chi Kit -Rep 2017-11-20 2020-12-31
623 Luk Fook Capital (HK) Limited Fan Charles Chi Yuen -Rep 2018-03-07 2021-01-06
624   Leung Ching Fai -Rep 2021-01-12 2021-02-03
625 Lumineux Asset Management Limited Yu Johnson Wai Hong -RO 2020-01-15 2021-01-05
626 Lumineux Securities Limited   -RO 2020-02-27 2021-01-05
627 LVS Wealth Management Limited Luk Michael Wai Hoe -Rep 2020-11-23 2021-01-07
628     +RO 2021-01-07
629   Wong Choi Mei (SFC:ABT161) -Rep 2019-07-22 2021-01-01
630 LYNX INVESTMENT PARTNERS LIMITED Murray Lesley Ann -Rep 2016-12-07 2020-12-31
631 Macquarie Asia Securities Limited Suzuki (KORSUWAN) Ran (Rosalyn) -Rep 2020-09-30 2021-01-06
632 MACQUARIE CAPITAL LIMITED Hill John Andrew (SFC:BMT336) -Rep 2019-06-25 2021-01-04
633   Hoy Leslie Foster -Rep 2019-01-16 2021-01-04
634   Pu Jimmy -Rep 2016-06-22 2021-01-08
635     +RO 2021-01-08
636   Shiu Jeffrey Ma -RO 2017-10-12 2021-01-08
637   Sim Zhe Wei -Rep 2020-11-24 2021-01-11
638   Siow Jia Keen -Rep 2019-05-07 2021-01-04
639   Smith Dominic Anthony -Rep 2017-08-29 2021-01-04
640   St John Michael Joseph Beauchamp -Rep 2019-02-14 2021-01-04
641   Suzuki (KORSUWAN) Ran (Rosalyn) -Rep 2020-05-29 2021-01-06
642   Takahashi Tomohiro -Rep 2017-12-18 2021-01-04
643   Werner Conrad Jacob -Rep 2011-06-15 2021-01-04
644   Yu Xuewen -Rep 2017-04-26 2020-12-31
645 Magnum Research Limited Wang Zhihan (SFC:BQL387) +Rep 2021-01-11
646 Major Asset Management Limited Yung Ka Cheung -Rep 2020-12-10 2021-01-05
647     +RO 2021-01-05
648   Zhao Mingyue +Rep 2021-01-11
649 Manulife Investment Management (Hong Kong) Limited Koo Wai Sun +Rep 2021-01-08
650   Li Sek Fu -RO 2020-04-01 2020-12-31
651 Mason Global Capital Limited Fan King Wai -RO 2020-04-15 2020-12-31
652 Mason Securities Limited   -Rep 2018-09-21 2020-12-31
653 MAXA CAPITAL LIMITED Duan Kaizhong +Rep 2020-12-30
654 Merdeka Investment Management Limited (b2011-09-27) Koo Tin Man -Rep 2019-10-31 2021-01-05
655 Merrill Lynch (Asia Pacific) Limited Cheng Fang Hsuan -Rep 2019-09-03 2020-12-31
656   MacEy Maxwell Nathan +Rep 2021-01-04
657   Proffitt Lee James +Rep 2021-01-04
658   Tzur Yael -Rep 2020-10-22 2020-12-31
659   Zhang Zhongwen (SFC:BKY288) -Rep 2017-09-18 2021-01-11
660 Merrill Lynch Far East Limited MacEy Maxwell Nathan +Rep 2021-01-04
661   Proffitt Lee James +Rep 2021-01-04
662   Tzur Yael -Rep 2014-07-28 2020-12-31
663 MESSIS CAPITAL LIMITED Choi Wing Yi -Rep 2018-12-14 2020-12-31
664 MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED Azzouz Hecham -Rep 2019-05-02 2020-12-31
665   Roy Pierre -Rep 2015-09-04 2020-12-31
666 MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED Chan Matthew (SFC:BFG309) -Rep 2018-10-16 2020-12-30
667   Kartha Harish Ramachandran -RO 2020-03-30 2020-12-30
668   Wang Jingchen -Rep 2018-03-23 2020-12-30
669 Mirae Asset Securities (HK) Limited Lui Thomas Ting Ching -RO 2019-09-30 2021-01-01
670 Mitsubishi UFJ Investment Services (HK) Limited Lam Andrew Robert -Rep 2019-11-14 2020-12-31
671   Lau Kwun Ping -Rep 2017-09-22 2020-12-31
672 MIZUHO SECURITIES ASIA LIMITED Hirata Rie -Rep 2013-04-03 2020-12-31
673   Stewart Benjamin Richard -Rep 2018-04-25 2021-01-13
674   Tanaka Keiichiro -Rep 2016-02-01 2020-12-31
675 MOELIS & COMPANY ASIA LIMITED Ding Yifan (SFC:BQG398) +Rep 2021-01-04
676 Moody's Investors Service Hong Kong Limited Choy Peter Sing Yip -Rep 2011-06-01 2020-12-31
677   Winsbury Patrick John -Rep 2020-04-27 2021-01-08
678 Morgan Stanley Asia Limited Andersson Magnus Carl Gustaf -Rep 2019-01-18 2021-01-13
679     +RO 2021-01-13
680   Ghosh Roy Reema -Rep 2012-07-30 2021-01-12
681   He Ruoheng -Rep 2019-07-26 2020-12-31
682   Liang Ruiyi +Rep 2021-01-13
683   Lui Wing Nam (SFC:BQF351) -Rep 2020-10-07 2021-01-06
684   Shaughnessy Robert Michael -Rep 2015-12-31 2021-01-13
685   Tsai Yun-Chen -Rep 2012-09-10 2021-01-13
686   Tse Tung Wai -Rep 2018-02-05 2021-01-13
687   Wu Yao (SFC:BQE051) -Rep 2020-10-21 2021-01-12
688   Yu Jie (SFC:BNF382) -Rep 2018-07-23 2020-12-30
689   Yu Xiaomei -RO 2017-10-04 2020-12-31
690   Zhang Yinan (SFC:BBT733) -Rep 2014-04-04 2021-01-13
691 Morgan Stanley Hong Kong Securities Limited Ghosh Roy Reema -Rep 2013-04-11 2021-01-12
692   Shaughnessy Robert Michael -Rep 2015-12-31 2021-01-13
693   Wu Yao (SFC:BQE051) -Rep 2020-10-21 2021-01-12
694 Morningstar Investment Management Asia Limited Gorham Philip Matthew -Rep 2020-11-10 2021-01-04
695     +RO 2021-01-04
696 NATIXIS ASIA LIMITED Bernard Arnaud Georges Herve -Rep 2013-11-13 2020-12-30
697   Zhou Xinwen +Rep 2021-01-11
698 Nerico Brothers Limited (HK) Tsang Siu Chung -Rep 2020-06-01 2021-01-04
699 Nice Talent Asset Management Limited Choi Tsz Leung (SFC:ASX465) +Rep 2021-01-06
700 NOMURA INTERNATIONAL (HONG KONG) LIMITED Chan Hong (SFC:AEQ337) -Rep 2008-10-10 2020-12-31
701   Chen Ying (SFC:ATY273) +Rep 2021-01-04
702   Cheng Tsang Shin +Rep 2021-01-04
703   Du Zhiye +Rep 2021-01-05
704   Moubarak Rany +Rep 2021-01-07
705   Noguchi Masayasu -Rep 2014-03-20 2020-12-30
706   Phun Wai Kheng -Rep 2021-01-01
707   Wu Pin Yi -Rep 2008-08-20 2021-01-01
708   Yu An Li +Rep 2021-01-11
709 Nuveen Hong Kong Limited Ying Dan Yung +Rep 2021-01-08
710 Ocean Arete Limited Feng Vince -RO 2014-08-18 2020-12-31
711 Oceanpine Capital Management Limited He Can -Rep 2020-08-10 2020-12-31
712   Hu Xiaobing -Rep 2020-05-25 2021-01-07
713     +RO 2021-01-07
714 OCP Asia (Hong Kong) Limited Siu Chan Ieong +Rep 2021-01-12
715 OKACHI (HONG KONG) COMPANY LIMITED Leung Hon Man (SFC:BMC232) -Rep 2018-01-25 2021-01-01
716   Yau Chun Wing -Rep 2020-04-08 2021-01-01
717 OKASAN INTERNATIONAL (ASIA) LIMITED Pan Candice -Rep 2020-08-03 2021-01-12
718 OLD PEAK LIMITED Bolitho Oliver Robert Morgan (SFC:AOS431) -RO 2017-12-13 2021-01-01
719   Leong Vui Ling -RO 2007-08-30 2021-01-01
720   Luk Terence (SFC:AGI503) -RO 2006-09-15 2021-01-01
721   Tak Yang Hyun -Rep 2018-01-12 2021-01-01
722 Olympus Partners Asia Limited (b2018-03-15) Hong Seung Bok -Rep 2019-09-10 2020-12-31
723   Kui Hon See +Rep 2021-01-12
724 One Heritage Capital Management Limited Wai Anthony Hau-Chun +Rep 2020-12-30
725   Yiu Tze Wai -Rep 2020-07-16 2021-01-05
726 OnePlatform Asset Management Limited Chang Tsz Ling -Rep 2019-01-15 2020-12-31
727   Pan Kin Ming -Rep 2016-03-01 2021-01-07
728   Shazad Amir (SFC:BQN675) +Rep 2021-01-05
729   Tsoi Ka Ki -Rep 2017-12-11 2021-01-06
730 OnePlatform Securities Limited Yuen Tsze Yee -Rep 2018-07-20 2021-01-04
731 OP INVESTMENT MANAGEMENT LIMITED Ko Denise Chi Heng +Rep 2020-12-30
732 Oreana Financial Services Limited Chong William Moon Biu +Rep 2021-01-11
733 ORIENT SECURITIES (HONG KONG) LIMITED Wong Yan Tung +Rep 2021-01-13
734 ORIENTAL PATRON SECURITIES LIMITED Liu Yi (SFC:BMY456) -Rep 2018-06-06 2020-12-31
735   Tam Sze Chuen -Rep 2020-05-04 2021-01-11
736     +RO 2021-01-11
737 Original Securities Limited Iu Pius Wai Hing -Rep 2018-01-08 2021-01-08
738 ORTUS CAPITAL MANAGEMENT LIMITED Zhang Jun (SFC:AJB857) -Rep 2014-05-07 2021-01-04
739 Oshidori Corporate Finance Limited Chan Yuen Ching Sarah +Rep 2021-01-07
740   Wang Lijuan (SFC:BIN154) -Rep 2016-12-08 2020-12-31
741   Wang Xi (SFC:BBZ660) -Rep 2016-12-09 2020-12-30
742     +RO 2020-12-30
743 Oshidori Securities Limited Wang Lijuan (SFC:BIN154) -Rep 2016-12-08 2020-12-31
744   Wu Zhaoqian -Rep 2017-08-28 2020-12-30
745     +RO 2020-12-30
746 OSL Digital Securities Limited Jiang Lingling (SFC:BLL183) +Rep 2021-01-11
747   Miller Ryan James +Rep 2021-01-11
748   Zhao Hong (SFC:BQO892) +Rep 2021-01-11
749 Oswin Asset Management Limited Wang Kai (SFC:BBR122) -Rep 2019-12-05 2020-12-31
750   Wang Yan (SFC:BOS518) -Rep 2019-09-19 2020-12-31
751   Wei Yumou -Rep 2019-08-15 2020-12-31
752   Wu Yue (SFC:AFU292) -RO 2020-04-28 2020-12-31
753 OTCex Hong Kong Limited Balme Remi Diego Thomas -Rep 2020-07-06 2021-01-08
754   Hoyau Yann Daniel Leon-Pierre -Rep 2019-07-02 2020-12-31
755 PACIFIC FOUNDATION SECURITIES LIMITED Lau Yu Leong -Rep 2020-06-05 2020-12-31
756   Lee William Ho Leung +RO 2020-12-31
757 Pamirs Capital (H.K.) Limited Shiau Yann-Huei -RO 2019-12-13 2020-12-31
758 PANTHEON VENTURES (HK) LLP Meads Chris Stanley (1966-06-22) -RO 2010-06-30 2020-12-31
759 PENGYUAN CREDIT RATING (HONG KONG) COMPANY LIMITED Ha Vincent Sui Man +Rep 2021-01-11
760 Pharo Management (HK) Limited Fournier James Edward (SFC:BQI513) +Rep 2020-12-31
761 PHILLIP CAPITAL MANAGEMENT (HK) LIMITED Chiu Sin Tak Alex +Rep 2021-01-08
762 PHILLIP COMMODITIES (H.K.) LIMITED Ho Pak Yim +Rep 2021-01-12
763   Hui Tak Lam +Rep 2021-01-08
764 PHILLIP SECURITIES (HONG KONG) LIMITED Cheuk Fei Fan -Rep 2019-08-02 2021-01-13
765   Chiu Sin Tak Alex +Rep 2021-01-08
766   Ho Pak Yim +Rep 2021-01-12
767   Hui Tak Lam +Rep 2021-01-08
768 PIMCO Asia Limited Gulati Naveen +Rep 2021-01-11
769   Reeves Melissa -Rep 2018-01-11 2021-01-01
770 PineBridge Investments Asia Limited Wong Mabel Mei Po -RO 2018-04-20 2020-12-31
771   Zhao Mei (SFC:BBG719) -RO 2020-02-12 2020-12-30
772     +Rep 2020-12-30
773 PineBridge Investments Hong Kong Limited Wong Mabel Mei Po -RO 2018-04-20 2020-12-31
774   Zhao Mei (SFC:BBG719) -RO 2020-02-12 2020-12-30
775     +Rep 2020-12-30
776 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED Wong Adrian Lok Ting +Rep 2021-01-05
777 Plutus Securities Limited Tsang Robert Fanqi -Rep 2020-04-06 2020-12-31
778 Po Tai Securities (Hong Kong) Limited Wu Ngai Pan +RO 2021-01-05
779 Point72 Hong Kong Limited Han Dongjin +Rep 2021-01-08
780   Lu Yizhuo +Rep 2020-12-31
781   Yu Guoshen -Rep 2016-09-06 2021-01-06
782 PREFERRED INVESTMENT ADVISORS (H.K) LIMITED Chien Cheng Hao -Rep 2017-04-11 2020-12-31
783 Premier Q Securities Limited Liu Xia (SFC:BQL693) +Rep 2021-01-13
784 PRESIDENT SECURITIES (HONG KONG) LIMITED Chow Sau Fan -Rep 2013-05-08 2020-12-31
785 PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED Gazmararian Lucy -Rep 2018-08-22 2020-12-31
786 PROFIT ACCESS INVESTMENTS LIMITED Law Ching Pui -Rep 2018-12-27 2021-01-08
787 PROSPER GLOBAL ASSET MANAGEMENT LIMITED Chung Franki Ka Fai -RO 2018-01-09 2020-12-31
788 Protoss Capital Limited Jiang Ting (SFC:BFL046) -RO 2020-07-07 2021-01-13
789 PSI Capital Asia Limited Chung Tsz Shan +Rep 2021-01-04
790 PUREHEART CAPITAL ASIA LIMITED Tao Sha (SFC:AYJ250) -Rep 2018-07-16 2021-01-08
791   Xiao Xiangyu -Rep 2019-01-30 2020-12-31
792 PV Capital (HK) Limited Du Weifeng (SFC:AVV544) +Rep 2021-01-11
793 Qube Research & Technologies Hong Kong Limited Moyroud Mathieu Benjamin -Rep 2018-01-02 2021-01-08
794 RaffAello Capital Limited Wu Benjamin Wen Jing -RO 2018-12-24 2021-01-06
795 RaffAello Securities (HK) Limited Mak Yun Shum -Rep 2018-11-20 2020-12-31
796 Raffles Assets Management (HK) Co. Limited Lam Yat Yeung +Rep 2020-12-31
797 Rakuten Securities Hong Kong Limited Kam Chun Hung -Rep 2005-03-10 2021-01-11
798     +RO 2021-01-11
799 RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED Tam Ken Wai Ming -Rep 2020-08-14 2020-12-31
800 RBC INVESTMENT SERVICES (ASIA) LIMITED Kawano Hiroshi -Rep 2017-12-15 2021-01-01
801 Regan International Securities Limited Lam Chun Yuk -RO 2019-07-23 2021-01-04
802 Richlink Capital (Hong Kong) Limited Tang Yi Ting +Rep 2021-01-04
803 Rifa Futures Limited Siu Man Lok -Rep 2020-07-14 2021-01-01
804   Yiu Wing Cheong +Rep 2021-01-04
805 Rifa Securities Limited Siu Man Lok -Rep 2020-07-14 2021-01-01
806   Yiu Wing Cheong +Rep 2021-01-04
807 Right Time Asset Management Company Limited Sun Congshi -Rep 2020-05-14 2021-01-06
808 RISING GLORY FINANCE LIMITED Yip Kin Kong (SFC:ADS751) -Rep 2019-01-15 2020-12-30
809     +RO 2020-12-30
810 ROCKPOOL CAPITAL LIMITED Yu Daniel Ting Yao -RO 2019-01-04 2021-01-06
811     +Rep 2021-01-06
812 Rothschild & Co Hong Kong Limited Florry Harry Simon Richard -Rep 2019-03-19 2020-12-31
813 ROYSTON SECURITIES LIMITED (GBEN) Chan Ho Yee -Rep 2020-11-02 2021-01-04
814 Ruffer (Asia) Limited Li Zhiran -Rep 2016-03-01 2021-01-01
815 Ruibang Securities Limited Choy Yau Fai +RO 2021-01-08
816   Klip Donald William -RO 2017-02-06 2020-12-31
817 Safari Asia Limited Hui Chi Kit -Rep 2017-11-20 2020-12-31
818 Saxo Capital Markets HK Limited Cheng Ka Chai +Rep 2020-12-31
819 SBI China Capital Financial Services Limited Leung Jason Tye -Rep 2020-06-08 2021-01-04
820 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED Devitre Zal Dinyar -Rep 2020-10-09 2020-12-31
821 Seazen Resources Futures Limited Chan Shiu Yeung -Rep 2017-03-23 2021-01-01
822   Lau Kwok Man -Rep 2017-03-23 2021-01-01
823 SG SECURITIES (HK) LIMITED Feng Yahui -Rep 2018-01-17 2021-01-08
824   Kim Nicolas Samuel +Rep 2021-01-04
825   Qiao Zheyuan (SFC:BNW162) -Rep 2018-11-30 2021-01-11
826   Sheng Jie (SFC:BOX017) -Rep 2019-10-02 2020-12-31
827   Wang Han (SFC:BIC317) -Rep 2019-10-28 2020-12-31
828   Wong Cynthia Yuan Sin -RO 2013-11-20 2020-12-31
829   Zhang Jiheng (SFC:BIC147) -Rep 2016-09-01 2020-12-31
830 SGI Capital Asset Management Limited Chan Chun King -Rep 2021-01-04 2021-01-28
831 SHANGGU ASSET MANAGEMENT (ASIA) LIMITED Leung Yin Wing +Rep 2021-01-12
832 SHANGHAI INTERNATIONAL ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED Duan Lian (SFC:BOH861) -Rep 2020-04-07 2021-01-04
833   Zhao Tian (SFC:BGW991) +RO 2021-01-05
834 SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED Liu Zhetao +Rep 2021-01-13
835 SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED Zhang Yijun (SFC:BDA073) -Rep 2020-09-22 2020-12-30
836     +RO 2020-12-30
837 SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED Ho Lai Shan (SFC:BQF885) -Rep 2020-11-09 2021-01-06
838   Pan Ying (SFC:BEQ552) +Rep 2020-12-30
839   Wu Yanwan -Rep 2020-10-15 2020-12-31
840   Zhou Yang (SFC:BNF447) +Rep 2020-12-30
841 SHK FUND MANAGEMENT LIMITED Anfilogoff George Alexander Nicholas -Rep 2018-09-20 2020-12-31
842   Liu Zhenhua (SFC:BHT759) -Rep 2019-03-15 2020-12-31
843   Walsh Simon Hastings Patrick -RO 2019-07-24 2020-12-31
844 SHK ONLINE (SECURITIES) LIMITED Ip Ka Yeung +Rep 2021-01-13
845   Zhang Jianjiao +Rep 2021-01-08
846 Silk Road International Capital Limited Huo Yuheng +Rep 2021-01-12
847 SILVERHORN INVESTMENT ADVISORS LIMITED Agrawal Manish (SFC:BQQ405) +Rep 2021-01-13
848 SINO POINT GLOBAL ASSET MANAGEMENT LIMITED Ma Sing (SFC:ALY498) +Rep 2021-01-12
849 Sino-Rich Securities & Futures Limited Hung Gary Lok Ming +Rep 2021-01-04
850 SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED Zhang Yu (SFC:BEX944) -RO 2019-12-04 2021-01-04
851     +Rep 2021-01-04
852 SINOMAX SECURITIES LIMITED Chau Chun Ho +Rep 2021-01-04
853   Li Ming Hei -Rep 2010-01-18 2021-01-05
854 SINOPAC SECURITIES (ASIA) LIMITED Lau Debby Wai Mei -RO 2017-02-13 2020-12-31
855 SMART EMPIRE ASSET MANAGEMENT LIMITED Chong Sui Lam +Rep 2021-01-04
856 SMBC Nikko Securities (Hong Kong) Limited Xiao Xiruo -Rep 2019-01-18 2021-01-12
857 SoFi Securities (Hong Kong) Limited Chan Yuk Wah (SFC:BOA335) -Rep 2019-01-28 2021-01-11
858   Chow Tsz Kwan (SFC:BQP759) +Rep 2021-01-06
859   Lam Hiu Tung (SFC:BOF254) -Rep 2020-12-07 2021-01-04
860   Wong Yat Lung -Rep 2020-11-05 2021-01-05
861 Soliton Securities Limited Diec Christie Kwan Yu -Rep 2019-09-03 2020-12-31
862 Solomon Capital Management Limited (HK) Gan Zhonghui +Rep 2021-01-07
863 Solomon JFZ (Asia) Holdings Limited Chan Chun King -Rep 2018-11-30 2020-12-31
864 Soochow Securities International Asset Management Limited Liu Sufeng +Rep 2021-01-04
865 Soochow Securities International Brokerage Limited Choi Antonius Chi Cheong +Rep 2021-01-04
866   Kwan Chung Tsz +Rep 2021-01-04
867   Li Hanyue +Rep 2021-01-04
868   Yeung Ho Hung +Rep 2021-01-04
869 Soochow Securities International Futures Limited Kwan Chung Tsz +Rep 2021-01-04
870   Li Hanyue +Rep 2021-01-04
871 SOUTH CHINA COMMODITIES LIMITED Chan Sai Keung +Rep 2021-01-04
872 South Oak Capital Management (Hong Kong) Company Limited Wang Yi (SFC:BBC899) +RO 2021-01-07
873   Wu Andrew Kai +RO 2021-01-07
874 Space Securities Limited Wong Vivian Yick Lam -Rep 2020-04-03 2021-01-04
875 SPARC CAPITAL MANAGEMENT LIMITED Fan Kwan Ho -RO 2020-07-31 2021-01-04
876 SPDB International Capital Limited Chen Yuying (SFC:BQM386) +Rep 2021-01-06
877   Hua Zhenyu +Rep 2021-01-06
878 SPDB International Investment Management Limited Chen Bijun (SFC:BOA182) +Rep 2021-01-08
879   Ma Kai (SFC:ANU813) -Rep 2020-10-28 2020-12-31
880 SPDB International Securities Limited Wang Weiying -Rep 2020-04-15 2021-01-09
881 Spring Asset Management Limited (HK) Dong Yuchao -Rep 2014-07-15 2020-12-31
882 Springboard Capital Limited Mo Yan Tsun Ricky -Rep 2017-12-04 2020-12-31
883 St. James's Place (Hong Kong) Limited Adham Zuba -Rep 2018-11-02 2020-12-31
884   Povey Jonathan Luke (SFC:BPE705) -Rep 2019-12-10 2020-12-31
885 Standard Chartered Securities (Hong Kong) Limited Botha Darren Phillip -RO 2018-07-30 2020-12-31
886 STATE STREET GLOBAL ADVISORS ASIA LIMITED Leung Ka Wai (SFC:AOK606) -Rep 2017-05-22 2021-01-11
887   Wong June Wai Man -RO 2016-08-17 2021-01-07
888 STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED   -RO 2016-10-27 2021-01-07
889 StormHarbour Securities (Hong Kong) Limited Su Dan (SFC:BPD753) -Rep 2019-11-20 2021-01-01
890 Strategic Vision Investment Limited McGregor Scot Edward +Rep 2021-01-11
891 Success Securities Limited Leung Sui Chung -Rep 2011-04-21 2020-12-30
892 Sumitomo Mitsui Trust (Hong Kong) Limited Kubo Tomohiko -Rep 2017-05-02 2021-01-04
893 SUN GROWTH SECURITIES LIMITED Cheung Sandra Wing Yi -Rep 2019-01-30 2020-12-31
894   Lee Wai Keung (SFC:ANT413) -RO 2019-10-04 2020-12-31
895 SUN HUNG KAI COMMODITIES LIMITED Wong Patrick Kwok Hing -RO 2018-06-20 2020-12-31
896   Zhang Jianjiao +Rep 2021-01-08
897 SUN HUNG KAI INTERNATIONAL LIMITED Wong Patrick Kwok Hing -RO 2016-06-08 2020-12-31
898 SUN HUNG KAI INVESTMENT SERVICES LIMITED He Xiaoying (SFC:BFN544) +Rep 2021-01-07
899   Ip Ka Yeung +Rep 2021-01-13
900   Ng Cheuk Man (SFC:BNP500) -Rep 2018-10-08 2021-01-03
901   Wong Patrick Kwok Hing -RO 2020-12-31
902   Wong William Koon Wei +Rep 2021-01-04
903   Zhang Jianjiao +Rep 2021-01-08
904 Sunrise Brokers (Hong Kong) Limited Hollands Richard Dudley -Rep 2011-04-12 2020-12-31
905 Swiss China Capital Limited Chen Shen (SFC:BQM328) +Rep 2020-12-30
906 Swiss International Asset Management Limited Delorenzi Raffaele -Rep 2017-03-02 2021-01-13
907     +RO 2021-01-13
908 Swiss-Asia Asset Management (HK) Limited Nastanski Neil Adam -Rep 2020-01-14 2021-01-07
909 Symmetry Investments (Hong Kong) Limited Howe Nicholas Gregory Msitu -Rep 2018-12-05 2020-12-30
910 T. M. MANAGEMENT LIMITED Sun Chao (SFC:BNF102) -Rep 2018-10-19 2020-12-31
911 T. Rowe Price Hong Kong Limited Alderson Christopher David -Rep 2015-12-03 2020-12-31
912   Marden Adam Campbell +Rep 2021-01-05
913 T.F.S. Derivatives HK Limited Brady Mark Joseph +Rep 2021-01-12
914   Pinteaux Adrien Pierre Andre +Rep 2021-01-04
915   Young Alan James Michael -RO 2017-05-04 2021-01-04
916 TAIKANG ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED Ng King Kwong +Rep 2021-01-12
917 TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED Li Guanda -Rep 2015-06-05 2021-01-04
918   Zhou Mi (SFC:BQO816) +Rep 2021-01-11
919 TARGET CAPITAL MANAGEMENT LIMITED (HK) Zheng Yongsheng -Rep 2018-11-15 2020-12-31
920 TC Concord Securities Limited Tang Ngar Fong -Rep 2019-07-29 2020-12-31
921 TD King Capital Limited Luk Pui Chi +Rep 2021-01-11
922 TELLIGENT CAPITAL MANAGEMENT LIMITED Tai Lok Sang -Rep 2021-01-11 2021-01-22
923   Xu Muhan (SFC:BQO409) +Rep 2021-01-11
924 TFI Asset Management Limited Huang Zidong +Rep 2021-01-06
925 TFI Securities and Futures Limited   +Rep 2021-01-06
926   Xie Yunjia -Rep 2020-10-28 2020-12-31
927   Zhu Yunpeng +Rep 2021-01-06
928 TIANDA ASSET MANAGEMENT LIMITED Lee Chun Bong (SFC:ALR864) -Rep 2020-02-10 2020-12-31
929 Tongfang Securities Limited Chan Man Sze (SFC:AZZ250) -Rep 2019-07-25 2021-01-03
930   Han Yuzhu -Rep 2017-12-18 2021-01-06
931   Lin Xiaohui (SFC:BOF862) -Rep 2019-06-19 2020-12-31
932 Topaz Financial Group Limited Choi Man Wing +Rep 2021-01-11
933 TOPPER DRAGON SECURITIES LIMITED Wong Kam Yuen (SFC:BHC234) -Rep 2018-02-06 2021-01-08
934 Towering Securities Limited Ng Wai Kit (SFC:AVT524) -RO 2019-07-11 2021-01-01
935   Yeung Tak Lam -RO 2020-06-01 2020-12-30
936 Towers Watson Investment Services Hong Kong Limited Berriman Paul Christopher -RO 2017-05-08 2020-12-31
937   Shim Sojeong +Rep 2021-01-11
938 TPG Capital, Limited Lee Jin Won -Rep 2019-02-14 2020-12-31
939 TRANSASIA PRIVATE CAPITAL LIMITED Atup Mary Desiree Tahud -Rep 2019-09-26 2021-01-13
940   Clothier Samuel Brian -Rep 2020-01-22 2021-01-08
941   Dana Justin Robert +Rep 2021-01-11
942   Zhai Hongwu +Rep 2020-12-30
943 Triada Capital Limited (HK) Wang Yijie (SFC:BPD586) +Rep 2021-01-07
944 TT INTERNATIONAL (HONG KONG) LIMITED De Bont Sebastiaan -Rep 2010-10-04 2020-12-31
945 TTB Partners Limited Chapman Peter Alexander +Rep 2021-01-12
946 TULLETT PREBON (HONG KONG) LIMITED Ashby Nicholas Stephen +Rep 2021-01-05
947   Poix Arnaud Bernard Fabrice Noel +RO 2021-01-05
948 UBS Asset Management (Hong Kong) Limited Lo Ann An Yee +Rep 2021-01-06
949 UBS SECURITIES ASIA LIMITED Cheng Kai-Wen +Rep 2021-01-13
950   Wang Yujue +Rep 2021-01-08
951   Zhang Yueyang (SFC:BQQ175) +Rep 2021-01-13
952 UBS SECURITIES HONG KONG LIMITED Cheng Kai-Wen +Rep 2021-01-13
953   Feng Xinglei -Rep 2020-10-16 2021-01-13
954   Gupta Kapil (SFC:BPY730) -Rep 2020-09-15 2021-01-08
955   Lin Michelle Chia-Hsing +Rep 2021-01-08
956   Wang Yujue +Rep 2021-01-08
957 UNITED TALENT VENTURES (HONG KONG) LIMITED Hung Chiu Tung +Rep 2021-01-06
958 UOB KAY HIAN (HONG KONG) LIMITED King Yueh Hann +Rep 2021-01-13
959   Lau Kwan Ming -Rep 2017-04-26 2021-01-12
960   Wan Lewis King Sun +Rep 2021-01-11
961   Wong Nga Sze (SFC:ATC256) -Rep 2020-07-14 2021-01-07
962 UOB KAY HIAN FUTURES (HONG KONG) LIMITED Chan Heung Shing -Rep 2014-09-19 2021-01-11
963     +RO 2021-01-11
964   King Yueh Hann +Rep 2021-01-13
965   Lau Kwan Ming -Rep 2017-04-26 2021-01-12
966   Wan Lewis King Sun +Rep 2021-01-11
967   Wong Nga Sze (SFC:ATC256) -Rep 2020-07-14 2021-01-07
968 uSmart Securities Limited Cheng Chi Ho (SFC:AWC625) -Rep 2020-12-07 2021-01-03
969 VALUABLE CAPITAL LIMITED Chan Po Yi (SFC:BQQ373) +Rep 2021-01-13
970   Fan Hiu Ying Joyce -Rep 2020-07-28 2021-01-03
971   Ip Hon Tak +RO 2021-01-11
972   Lam Wai Hin (SFC:BQP695) +Rep 2021-01-05
973   Yuen Chu Ping +Rep 2021-01-11
974   Zhong Ni +Rep 2021-01-13
975 Vantage Capital Markets HK Limited Macfarlane Richard James -Rep 2020-09-18 2021-01-13
976     +RO 2021-01-13
977   Quinn Joseph (SFC:BQP052) +Rep 2020-12-31
978 VARDE PARTNERS HONG KONG LIMITED Kwong Alexandra Hok Yan -RO 2019-10-16 2020-12-31
979   Rydqvist Craig Ivan (SFC:BOM591) -RO 2019-10-16 2020-12-31
980 VC ASSET MANAGEMENT LIMITED Chan King Yeung (SFC:BCF239) -Rep 2020-07-02 2021-01-02
981 VC BROKERAGE LIMITED   -Rep 2020-07-02 2021-01-02
982 Venture Smart Asia Limited Wong Emily Ho-Luen -Rep 2016-06-14 2021-01-08
983 Victory Asset Management Limited Chen Xiu Zhu +Rep 2020-12-31
984   Lau Gordon Ka Ho +RO 2020-12-31
985 VICTORY SECURITIES COMPANY LIMITED Zhu Weini +Rep 2020-12-31
986 VISION FINANCE ASSET MANAGEMENT LIMITED Qu Lu -Rep 2011-07-06 2021-01-04
987 VMI Securities Limited Chan Jessica Yan Yu +Rep 2021-01-08
988 VMS Asset Management Limited Hai Ka Ki Martin +Rep 2020-12-31
989   Leung Sin Tung -Rep 2019-01-10 2021-01-01
990 Vontobel Limited Leung Kwun Fung -Rep 2017-06-15 2021-01-13
991     +RO 2021-01-13
992 VSTH CAPITAL GLOBAL ASSET MANAGEMENT LIMITED Lee Kwok Cheong (SFC:AGA695) +RO 2021-01-05
993   Wong Dorothy Wai Han -RO 2019-08-12 2020-12-31
994 Walker Capital Limited (HK) Chan Micky Conita -Rep 2021-01-11 2021-02-03
995   Guo Tianxiao -Rep 2019-02-21 2020-12-31
996 WARD FERRY MANAGEMENT LIMITED Garg Prateet -Rep 2020-08-28 2021-01-05
997 WE Asset Management Limited Ng Howard Ho Yuen -RO 2018-03-19 2020-12-31
998 WE Securities Limited   -RO 2018-10-02 2020-12-31
999 Wealthy Securities Limited Lam Ricky Tim -RO 2019-12-19 2020-12-31
1000 Well Link Asset Management Limited Poon Wai Lim William +Rep 2020-12-30
1001 Well Link Securities Limited Liu Jia Kung -Rep 2020-03-26 2020-12-31
1002 WELLCHAMP CAPITAL LIMITED Wong Kim Kiu -Rep 2016-10-04 2021-01-04
1003 Wellington Management Hong Kong Limited (b2003-01-02) Lee Kyung Jik -Rep 2017-04-26 2020-12-31
1004   Puritz Adam Todd -RO 2017-09-15 2020-12-31
1005 Wells Fargo Securities Asia Limited Erikci Serkan -RO 2017-02-03 2021-01-08
1006 Western Union Business Solutions (Hong Kong) Limited Bishop Simon John -RO 2016-05-20 2020-12-31
1007   Chan Patrick Wai Ming -Rep 2019-11-27 2020-12-31
1008   Chiang Ching Ching -Rep 2016-07-18 2020-12-31
1009   Chow Michael Chi Kit -Rep 2016-06-15 2020-12-31
1010   Choy Yee Ting -Rep 2019-04-09 2020-12-31
1011   Hung Carmen Ka Man -Rep 2016-06-15 2020-12-31
1012   Janssen Svend -RO 2019-06-13 2020-12-31
1013   Kwan Po Fu -Rep 2018-04-27 2020-12-31
1014   Lam Po Shan -Rep 2020-06-12 2020-12-31
1015   Lau Verda Woon Yan -Rep 2020-02-04 2020-12-31
1016   Leung David Lut Yan -Rep 2019-09-02 2020-12-31
1017   Leung Siu Man (SFC:BHQ260) -Rep 2016-06-21 2020-12-31
1018   Mak Sai Hung -Rep 2016-06-16 2020-12-31
1019   So Wing Tung (SFC:BHQ263) -Rep 2016-06-20 2020-12-31
1020   Tsang Chui Ying -Rep 2016-06-30 2020-12-31
1021   Woo Kai Hon -Rep 2017-11-14 2020-12-31
1022   Yeung Pik Ha -Rep 2016-06-17 2020-12-31
1023   Yeung Tung Leong -Rep 2020-03-04 2020-12-31
1024   Yuen Wing Tung (SFC:BLX127) -Rep 2018-01-12 2020-12-31
1025 Wisdom Asset Management Limited (HK) Zhang Yaoyu -Rep 2020-02-25 2021-01-07
1026 WONDERLAND INTERNATIONAL SECURITIES LIMITED Sze Kin Fai -Rep 2020-04-17 2021-01-12
1027   Zhou Qinyi +Rep 2021-01-13
1028 Xen Capital (HK) Limited Ian Ho On -Rep 2019-09-17 2020-12-30
1029   Tsoi Kwan Yee -Rep 2020-10-07 2020-12-30
1030   Yiong Hoi San -RO 2019-11-15 2020-12-30
1031 Xin Tian Dou Asset Management Limited Kwok Chun Kong -RO 2020-06-15 2021-01-08
1032 YAU WAI INTERNATIONAL ASSET MANAGEMENT COMPANY LIMITED Chen Baiyi -Rep 2020-09-14 2020-12-31
1033 Yishao Capital Management (HK) Limited Dai Yuanyuan -Rep 2020-12-14 2020-12-30
1034     +RO 2020-12-30
1035 Yuanta Securities (Hong Kong) Company Limited Chan Lut Kwan -Rep 2014-02-12 2021-01-07
1036 YUANYIN ASSET MANAGEMENT LIMITED Lu Lei (SFC:BLT136) -RO 2020-04-27 2021-01-06
1037 Yue Xiu Capital Limited Lau Wan Ki +Rep 2020-12-30
1038 YUE XIU FUTURES COMPANY LIMITED Wai Chi Tat -Rep 2018-09-20 2021-01-08
1039 YUE XIU SECURITIES COMPANY LIMITED   -Rep 2018-09-20 2021-01-08
1040 Yuet Sheung International Securities Limited Liang Christopher +Rep 2021-01-07
1041 Yunfeng Asset Management Limited Tong Cheuk Fu Jeffery -RO 2020-04-15 2021-01-10
1042 Yunfeng Financial Markets Limited Chen Wuyou -Rep 2020-12-08 2021-01-03
1043   Lam Cheuk Sun -Rep 2021-01-07 2021-01-31
1044   Tong Cheuk Fu Jeffery -RO 2020-04-15 2021-01-10
1045 Yunfeng Securities Limited Chen Wuyou -Rep 2020-12-08 2021-01-03
1046   Lam Cheuk Sun -Rep 2021-01-07 2021-01-31
1047   Tong Cheuk Fu Jeffery -RO 2020-08-12 2021-01-10
1048 Yunqi Capital Limited Littmann Edward Raymond -RO 2018-05-11 2021-01-08
1049 ZEAL ASSET MANAGEMENT LIMITED Fung Yi +Rep 2021-01-12
1050 Zentrum Capital Advisors Limited Lau Tsz Him (SFC:BIR342) -Rep 2016-12-30 2020-12-31
1051 Zerobridge Partners Advisory Limited Lam Kin Chun -Rep 2020-11-04 2021-01-05
1052 Zhong Yang Capital Limited Li Shu Ip -RO 2018-02-05 2021-01-11
1053 ZHONGDA (HONGKONG) FUTURES LIMITED Gu Kaiqi -Rep 2019-09-27 2021-01-08
1054 ZHONGHUI INTERNATIONAL FUTURES COMPANY LIMITED Mok Wai Yip -RO 2017-07-31 2020-12-31
1055     +Rep 2020-12-31
1056   Yang Yang (SFC:BQK770) +Rep 2020-12-31
1057 Zhongrong International Capital Management Limited Ma Ginny Sai Wun -Rep 2020-10-16 2021-01-11
1058     +RO 2021-01-11
1059 ZHONGTAI INTERNATIONAL CAPITAL LIMITED Wang Huangji -Rep 2019-01-07 2021-01-06
1060 ZHONGTAI INTERNATIONAL SECURITIES LIMITED Chan Kit Ying (SFC:ARE706) -Rep 2018-06-11 2020-12-31
1061   Chang Jingyi (SFC:BQO521) +Rep 2021-01-05
1062   Lau Chak Wing -Rep 2016-08-16 2020-12-31
1063 ZM ASSET MANAGEMENT LIMITED (GBEN) Hui Peter Sai Tsun -RO 2019-07-03 2020-12-31

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