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.
Some data are hidden to fit your display. Rotate?
| Row |
Firm |
Licensee |
Role |
Appointed |
Ceased |
| 1 |
01F Limited |
Ho, Alice 何雅詩 |
+RO |
2025-12-09 |
|
| 2 |
|
Man, Kai Nin Kenny 萬啓年 |
+RO |
2025-12-09 |
|
| 3 |
aacat fintech Limited |
Chan, Gary Hing Cheung 陳興祥 |
-Rep |
2025-03-06 |
2025-12-08 |
| 4 |
|
|
+RO |
2025-12-08 |
|
| 5 |
ABCI Securities Company Limited |
Gan, Zhonghui 甘中輝 |
+Rep |
2025-12-02 |
|
| 6 |
Acebridge Asset Management Limited |
Zhou, Jiu Zhou 周玖洲 |
-Rep |
2025-11-05 |
2025-12-09 |
| 7 |
|
|
+RO |
2025-12-09 |
|
| 8 |
Aden Financial Group Limited |
Hou, Zhe 侯哲 |
-Rep |
2025-07-18 |
2025-11-28 |
| 9 |
|
|
+RO |
2025-11-28 |
|
| 10 |
ADVENT CORPORATE FINANCE LIMITED (GBEN) |
Chan, Sau Lim 陳守廉 |
-Rep |
2021-03-11 |
2025-12-01 |
| 11 |
|
|
+RO |
2025-12-01 |
|
| 12 |
Allianz Global Investors Asia Pacific Limited (SFC:BFE699) |
Chu, Felix 朱森民 |
+Rep |
2025-12-02 |
|
| 13 |
|
Fong, Ka Lee 方嘉莉 |
+Rep |
2025-12-01 |
|
| 14 |
AMINA (Hong Kong) Limited |
Benz, Michael Bruno |
-Rep |
2025-09-24 |
2025-12-02 |
| 15 |
|
|
+RO |
2025-12-02 |
|
| 16 |
Amto Capital Management Limited |
Lin, Fengyuan 林丰源 |
-Rep |
2025-12-01 |
2025-12-08 |
| 17 |
|
|
+RO |
2025-12-08 |
|
| 18 |
|
Sun, Kathy |
+Rep |
2025-12-01 |
|
| 19 |
AP Capital Management (Hong Kong) Limited |
Zhao, Kunming (SFC:BJJ372) 趙坤明 |
+Rep |
2025-12-03 |
|
| 20 |
Apollo Capital Management Limited |
Chiu, Ding Chung 趙定中 |
+Rep |
2025-12-01 |
|
| 21 |
ARCH Capital Property Advisors Co. Limited |
Lo, Terence (SFC:BFP325) |
-Rep |
2016-10-31 |
2025-12-08 |
| 22 |
|
|
+RO |
2025-12-08 |
|
| 23 |
ARDIAN Hong Kong Limited |
Chan, Sze Wing (SFC:BXG201) 陳思穎 |
+Rep |
2025-12-02 |
|
| 24 |
|
Lin, Pey Wen 林佩玟 |
+Rep |
2025-12-02 |
|
| 25 |
Ark Futures (Hong Kong) Limited |
Lam, Muk Kin 林木堅 |
+Rep |
2025-12-02 |
|
| 26 |
|
Yam, Ching Wai 任正威 |
+Rep |
2025-12-02 |
|
| 27 |
Ark Group Holdings (Hong Kong) Limited |
Zhu, Hao (SFC:BWA571) 朱昊 |
+Rep |
2025-12-03 |
|
| 28 |
Arta Asset Management Limited |
Beidzina, Tatsiana |
+Rep |
2025-12-04 |
|
| 29 |
Artisan Partners Hong Kong Limited |
Lee, Ka Hang (SFC:BAE507) 李嘉桁 |
-Rep |
2025-12-04 |
2025-12-08 |
| 30 |
|
|
+RO |
2025-12-08 |
|
| 31 |
ASIAN CAPITAL LIMITED |
Leung, Sylvia Sau Fan 梁秀芬 |
+Rep |
2025-12-05 |
|
| 32 |
Aspen Global Management Limited |
Meng, Yuqing (SFC:BBW546) 孟雨晴 |
+RO |
2025-12-01 |
|
| 33 |
|
Shea, Wing Kai 佘永佳 |
+RO |
2025-12-01 |
|
| 34 |
Aspenwood Capital Limited |
Tam, Kim Wai Joseph 譚劍偉 |
+Rep |
2025-11-28 |
|
| 35 |
Avenue Family Office Limited |
Duan, Weiping 段衛萍 |
+Rep |
2025-12-05 |
|
| 36 |
AVENUE INVESTMENT MANAGEMENT LIMITED |
|
+Rep |
2025-12-05 |
|
| 37 |
Bain Capital Private Equity (Asia) Limited |
Yan, Ji (SFC:BVZ951) 閆佶 |
+Rep |
2025-12-09 |
|
| 38 |
Balyasny Asset Management (Hong Kong) Limited |
Sethi, Aniket Anoop |
+Rep |
2025-12-05 |
|
| 39 |
|
Zhang, Yi (SFC:BXF479) 張毅 |
+Rep |
2025-12-03 |
|
| 40 |
|
Zhu, Cheng (SFC:BJB237) 朱成 |
+Rep |
2025-12-08 |
|
| 41 |
BANK CONSORTIUM TRUST COMPANY LIMITED |
Cao, Kelvin Kai 曹凱 |
+Rep |
2025-12-09 |
|
| 42 |
BARCLAYS CAPITAL ASIA LIMITED |
Siu, Ka Yee (SFC:BSR768) 蕭嘉儀 |
+Rep |
2025-12-04 |
|
| 43 |
|
Tan, Nicolas (SFC:BXG140) 陳俊龍 |
+Rep |
2025-12-03 |
|
| 44 |
Barrenjoey Asia Limited |
Choi, Eric |
+Rep |
2025-12-08 |
|
| 45 |
Basis Asset Management Limited |
Law, Frederick Andrew 羅頌然 |
+Rep |
2025-12-09 |
|
| 46 |
Betatron Ventures Limited |
Hong, Monica |
+Rep |
2025-12-08 |
|
| 47 |
BFAM Partners (Hong Kong) Limited |
Bafna, Ankit Satyendra |
+Rep |
2025-12-09 |
|
| 48 |
BlackRock Asset Management North Asia Limited |
Chow, Kin Hang (SFC:BRJ369) 周健恆 |
+Rep |
2025-11-28 |
|
| 49 |
|
Fisher, Robert John (SFC:BEV303) |
+Rep |
2025-12-05 |
|
| 50 |
|
Kruger, Anthony Johan (SFC:BUN496) |
+Rep |
2025-12-05 |
|
| 51 |
|
Niaz, Ali Sudaif (SFC:BXH175) |
+Rep |
2025-12-11 |
|
| 52 |
|
Riley, Adam Martin (SFC:BBB159) |
+Rep |
2025-12-05 |
|
| 53 |
|
Seixas Disselli, Gabriel |
+Rep |
2025-12-11 |
|
| 54 |
|
Zhao, Meng (SFC:BXG954) |
+Rep |
2025-12-11 |
|
| 55 |
BLUESTONE SECURITIES (HK) CO., LIMITED |
Tsoi, Wai Hung (SFC:BBG310) 蔡偉鴻 |
-Rep |
2025-11-13 |
2025-12-04 |
| 56 |
|
|
+RO |
2025-12-04 |
|
| 57 |
BNP PARIBAS SECURITIES (ASIA) LIMITED |
Lau, Chun Sing (SFC:BOW446) 劉振聲 |
+Rep |
2025-12-01 |
|
| 58 |
|
Li, Yingshi (SFC:BXF705) 李潁詩 |
+Rep |
2025-12-08 |
|
| 59 |
|
Liu, Rui (SFC:BPE527) 刘睿 |
+Rep |
2025-12-10 |
|
| 60 |
BOCHK Asset Management Limited |
Zhang, Rui (SFC:BXA152) 張瑞 |
+Rep |
2025-12-02 |
|
| 61 |
BOCI SECURITIES LIMITED |
He, Yuqin (SFC:BXF112) 何雨芹 |
+Rep |
2025-11-28 |
|
| 62 |
|
Liu, Zhuolin 劉卓琳 |
+Rep |
2025-12-09 |
|
| 63 |
BOCOM International (Asia) Limited |
Chen, Yilong (SFC:BXE018) 陳亦龍 |
+Rep |
2025-12-05 |
|
| 64 |
BOCOM International Securities Limited |
|
+Rep |
2025-12-05 |
|
| 65 |
|
Zhu, Wanying 祝婉瑩 |
+Rep |
2025-12-05 |
|
| 66 |
CAITONG INTERNATIONAL CAPITAL CO., LIMITED |
Ng, Tai Hung 吳大雄 |
+Rep |
2025-12-08 |
|
| 67 |
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED |
Cai, Mingzhu 蔡明珠 |
+Rep |
2025-12-03 |
|
| 68 |
|
Hwang, Jack Jin Woo |
+Rep |
2025-12-11 |
|
| 69 |
|
Kim, Donghyun (SFC:BXB032) |
+Rep |
2025-12-01 |
|
| 70 |
|
Ng, Christopher Chun Lung 伍展隆 |
+Rep |
2025-12-01 |
|
| 71 |
Capibara Capital (Hong Kong) Limited |
Dong, Yu (SFC:BJC698) 董譽 |
+RO |
2025-12-11 |
|
| 72 |
|
Ma, Mingwei (SFC:BWG055) 馬名蔚 |
+RO |
2025-12-11 |
|
| 73 |
Casstar (HK) Technology Investment Limited |
She, Changkai 折昌凯 |
+RO |
2025-12-02 |
|
| 74 |
|
Xia, Lin (SFC:BVT353) 夏琳 |
+RO |
2025-12-02 |
|
| 75 |
CBH Asia Limited |
Chan, Che Kan 陳自勤 |
+Rep |
2025-12-01 |
|
| 76 |
CCB INTERNATIONAL CAPITAL LIMITED |
Lu, Lifei 陸力飛 |
+Rep |
2025-12-04 |
|
| 77 |
|
Zhou, Xunnan 周珣南 |
+Rep |
2025-12-04 |
|
| 78 |
CCB INTERNATIONAL SECURITIES LIMITED |
Chen, Yalei 陳亞雷 |
+Rep |
2025-12-02 |
|
| 79 |
|
Hung, Ngar Kit 洪雅潔 |
-Rep |
2025-09-17 |
2025-12-09 |
| 80 |
|
|
+RO |
2025-12-09 |
|
| 81 |
|
Pang, Hiu Fung 彭曉烽 |
+Rep |
2025-12-02 |
|
| 82 |
CCB Securities Limited |
Siu, Hon Wah 蕭瀚樺 |
+Rep |
2025-12-02 |
|
| 83 |
CELESTIAL SECURITIES LIMITED |
Cheng, Chi Ho (SFC:AOV370) 鄭志豪 |
+Rep |
2025-12-09 |
|
| 84 |
CES Commodities (HK) Limited |
Kok, Ka Wai 郭嘉偉 |
+Rep |
2025-12-11 |
|
| 85 |
CHIEF SECURITIES LIMITED |
Chan, Ngai Ka 陳毅嘉 |
+Rep |
2025-12-01 |
|
| 86 |
|
Chau, Chi Kan 周志勤 |
+Rep |
2025-12-01 |
|
| 87 |
|
Cheung, Tsz Ho 張子浩 |
+Rep |
2025-12-04 |
|
| 88 |
|
Shiu, Lok Hin 蕭諾軒 |
+Rep |
2025-12-03 |
|
| 89 |
|
Tso, Ka Sing 曹嘉升 |
-Rep |
2025-10-30 |
2025-12-01 |
| 90 |
|
|
+RO |
2025-12-01 |
|
| 91 |
China Asset Management (Hong Kong) Limited |
Chen, Jingjing (SFC:BXD844) 陳晶晶 |
+Rep |
2025-12-01 |
|
| 92 |
Crosby Securities Limited |
Cheng, Heidi Mun Wah 鄭敏華 |
-RO |
2022-12-30 |
2025-12-03 |
| 93 |
|
Lau, Alex Chi Wah 劉志華 |
-RO |
2022-06-24 |
2025-12-03 |
| 94 |
Everbright Securities Investment Services (HK) Limited |
Kok, Ka Wai 郭嘉偉 |
+Rep |
2025-12-11 |
|
| 95 |
FirstLight Capital HK Limited |
Chi, Hai 遲海 |
+RO |
2025-12-10 |
|
| 96 |
|
Hu, Xiao (SFC:ARM291) 胡曉 |
+RO |
2025-12-10 |
|
| 97 |
|
Yang, Yang (SFC:AYT012) 楊颺 |
+RO |
2025-12-10 |
|
| 98 |
Longrising Asset Management Co., Limited |
Lyu, Xiaojiu |
+RO |
2025-12-04 |
|
| 99 |
|
Yang, Jianhai 楊建海 |
+RO |
2025-12-04 |
|
| 100 |
|
Zeng, Xiaojie (SFC:BOC012) |
+RO |
2025-12-04 |
|
| 101 |
Mingze Capital International Limited |
He, Zhuli 何著立 |
+RO |
2025-12-08 |
|
| 102 |
|
Siu, Wai Kit (SFC:AFM549) 蕭偉杰 |
+RO |
2025-12-08 |
|
| 103 |
|
Yu, Yin (SFC:BID593) 余音 |
+RO |
2025-12-08 |
|
| 104 |
Mufort Global Investments Limited |
Hang, Hugh Hai Tho 韓海疇 |
+RO |
2025-11-28 |
|
| 105 |
|
Ip, Hung Kei 葉鴻基 |
+RO |
2025-11-28 |
|
| 106 |
NeoSpective Capital Limited |
Dong, Yu (SFC:BJC698) 董譽 |
-RO |
2024-04-17 |
2025-12-08 |
| 107 |
Olive Asset Management (Hong Kong) Limited |
Tang, Sherlock Tze Lok 鄧子樂 |
-Rep |
2023-11-24 |
2025-12-03 |
| 108 |
|
|
+RO |
2025-12-03 |
|
| 109 |
Oyin Asset Management (Hong Kong) Limited |
Chu, Yat Ming 朱日明 |
+RO |
2025-12-05 |
|
| 110 |
|
Zhang, Yu (SFC:AQS656) 張煜 |
+RO |
2025-12-05 |
|
| 111 |
Power Gaussian Limited |
Lin, Yan (SFC:BWH872) |
+RO |
2025-12-05 |
|
| 112 |
|
Zhou, Cheng (SFC:AMR944) 周誠 |
+RO |
2025-12-05 |
|
| 113 |
Sagacious Tree Asset Management Limited |
Huang, Yipeng 黄伊鹏 |
+RO |
2025-12-03 |
|
| 114 |
|
Tang, Wai Fung (SFC:ATN569) 鄧偉鋒 |
+RO |
2025-12-03 |
|
| 115 |
SUNJOY ASSET MANAGEMENT LIMITED |
Su, Danying 蘇丹穎 |
+RO |
2025-12-05 |
|
| 116 |
|
Yin, Jun (SFC:BWJ872) 尹君 |
+RO |
2025-12-05 |
|
| 117 |
Tower Capital Asia (HK) Limited |
Lee, Yi Lin 李依霖 |
+RO |
2025-12-03 |
|
| 118 |
|
Lim, Seth Ee Jer 林毅哲 |
+RO |
2025-12-03 |
|
| 119 |
Zenithify Capital Management Limited |
Gong, Ranxia 弓然霞 |
+RO |
2025-12-05 |
|
| 120 |
|
Zhu, Baili 朱柏力 |
+RO |
2025-12-05 |
|
