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 |
313 Capital Management Limited |
Tso, Sing Yip 曹鑫業 |
+Rep |
2026-02-09 |
|
| 2 |
Acebridge Asset Management Limited |
Qin, Shi 秦诗 |
+Rep |
2026-02-09 |
|
| 3 |
ALBOURNE PARTNERS (ASIA) LIMITED |
Yu, Chun Kiu Raphael 余雋翹 |
+Rep |
2026-02-09 |
|
| 4 |
AllianceBernstein Hong Kong Limited |
Pryor, Luke Christopher |
+Rep |
2026-02-03 |
|
| 5 |
ALLSPRING GLOBAL INVESTMENTS (HONG KONG) LIMITED |
Lee, Wai (SFC:BXM378) 李偉 |
+Rep |
2026-02-06 |
|
| 6 |
ALPINE SECURITIES LIMITED |
Fang, Chengqi 房誠琦 |
+Rep |
2026-02-11 |
|
| 7 |
ANKAA CAPITAL LIMITED |
Qiu, Yufei (SFC:BMZ544) 邱雨菲 |
-Rep |
2026-01-20 |
2026-02-09 |
| 8 |
|
|
+RO |
2026-02-09 |
|
| 9 |
Antai Securities Limited |
Yang, Chao (SFC:BXL781) 楊超 |
+Rep |
2026-02-06 |
|
| 10 |
AP Capital Management (Hong Kong) Limited |
Lee, Wai Yin (SFC:AFZ879) 李慧妍 |
+Rep |
2026-02-10 |
|
| 11 |
Apollo Capital Management Limited |
Chan, Hiu Kwong (SFC:BDO422) 陳曉光 |
+Rep |
2026-02-13 |
|
| 12 |
Apricot Capital (Hong Kong) Limited |
Wong, Kam Yui 黃金銳 |
+RO |
2026-02-12 |
|
| 13 |
Ares Management Asia (Hong Kong) Limited |
Krefman, Daniel Scott |
-Rep |
2025-03-03 |
2026-02-12 |
| 14 |
|
|
+RO |
2026-02-12 |
|
| 15 |
|
Lee, Chaemin (SFC:BXP424) |
+Rep |
2026-02-03 |
|
| 16 |
Ark Group Holdings (Hong Kong) Limited |
Gu, Yu (SFC:BXP983) 顧嶼 |
+Rep |
2026-02-11 |
|
| 17 |
Arrowpoint Investment Partners (Hong Kong) Limited |
Li, Zhi (SFC:BVK509) 李智 |
+Rep |
2026-02-13 |
|
| 18 |
Arta Corporate Advisory Limited |
Xu, Hao (SFC:AVA631) 許昊 |
-Rep |
2024-11-04 |
2026-02-12 |
| 19 |
|
|
+RO |
2026-02-12 |
|
| 20 |
Atta Capital Limited |
Li, Chak Ming 李澤銘 |
-RO |
2018-11-05 |
2026-02-12 |
| 21 |
AWM Asset Management Limited |
Chung, Tsz Fung Nicky 鍾梓烽 |
+Rep |
2026-02-02 |
|
| 22 |
AXA Investment Managers Asia Limited |
Collins, Michael Antiporda |
+Rep |
2026-02-02 |
|
| 23 |
|
Dean, Jonathan Matthew Coslett (SFC:BUY675) |
+Rep |
2026-02-02 |
|
| 24 |
BARCLAYS CAPITAL ASIA LIMITED |
Gupta, Harshit (SFC:BXL490) |
+Rep |
2026-02-06 |
|
| 25 |
|
Wong, Lung Yu Andy 黃瀧譽 |
+Rep |
2026-02-06 |
|
| 26 |
Barrenjoey Asia Limited |
Lawcock, Glyn David |
+Rep |
2026-02-02 |
|
| 27 |
Beevest Securities Limited |
Sun, Li (SFC:BXM366) 孫立 |
+Rep |
2026-02-05 |
|
| 28 |
BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED |
Wu, Shiyi (SFC:BXN261) 邬诗意 |
+Rep |
2026-02-02 |
|
| 29 |
Blackhorn Wealth Management Limited |
Tong, Tsz Yin |
+Rep |
2026-02-02 |
|
| 30 |
BlackRock Asset Management North Asia Limited |
Cottington, Jordan Maxwell |
+Rep |
2026-02-02 |
|
| 31 |
|
Liu, Muqi 劉沐祺 |
+Rep |
2026-02-11 |
|
| 32 |
|
Wang, Loke Kiat |
+Rep |
2026-02-11 |
|
| 33 |
BLACKSTONE GROUP (HK) LIMITED (THE) |
Tong, Sze Ho 唐思灝 |
+Rep |
2026-02-02 |
|
| 34 |
BLS Capital Limited |
Suen, Ka Yam 孫家鑫 |
+Rep |
2026-02-12 |
|
| 35 |
Blue Water Capital Management Limited |
Li, Chak Ming 李澤銘 |
+Rep |
2026-02-13 |
|
| 36 |
BNP PARIBAS SECURITIES (ASIA) LIMITED |
Siu, Hiu Wang 蕭曉泓 |
+Rep |
2026-02-13 |
|
| 37 |
|
Zhao, Haoxue 赵皓雪 |
+Rep |
2026-02-13 |
|
| 38 |
BNY Mellon Investment Management Hong Kong Limited |
Langguth, Daved Thomas |
+Rep |
2026-02-02 |
|
| 39 |
|
Smith, Marlene Walker |
+Rep |
2026-02-02 |
|
| 40 |
BOCI COMMODITIES & FUTURES LIMITED |
Xing, Jianfei 邢劍飛 |
+Rep |
2026-02-04 |
|
| 41 |
BOCI RESEARCH LIMITED |
Cui, Zile 崔子乐 |
+Rep |
2026-02-04 |
|
| 42 |
|
Ng, Sze Ho 吳思浩 |
+Rep |
2026-02-04 |
|
| 43 |
BOCI SECURITIES LIMITED |
Chan, Yue (SFC:ARE773) 陳裕 |
-Rep |
2008-06-12 |
2026-02-02 |
| 44 |
|
|
+RO |
2026-02-02 |
|
| 45 |
|
Cheung, Shing Yat 張聲一 |
-Rep |
2004-07-20 |
2026-02-04 |
| 46 |
|
|
+RO |
2026-02-04 |
|
| 47 |
|
Cui, Zile 崔子乐 |
+Rep |
2026-02-04 |
|
| 48 |
|
Ng, Sze Ho 吳思浩 |
+Rep |
2026-02-04 |
|
| 49 |
BOCOM International Securities Limited |
Hong, Shang 洪尚 |
+Rep |
2026-02-04 |
|
| 50 |
Bosera Asset Management (International) Co., Limited |
Lu, Li (SFC:BGJ100) 盧里 |
-Rep |
2015-10-19 |
2026-02-06 |
| 51 |
|
|
+RO |
2026-02-06 |
|
| 52 |
BRIDGE CAPITAL INTERNATIONAL LIMITED |
Li, Bin (SFC:BWN881) 李彬 |
+RO |
2026-02-12 |
|
| 53 |
|
Li, Wei (SFC:BWN885) 李威 |
+RO |
2026-02-12 |
|
| 54 |
Bright Moon Capital Limited |
Zhen, Jingjing 甄晶晶 |
-Rep |
2026-01-19 |
2026-02-10 |
| 55 |
|
|
+RO |
2026-02-10 |
|
| 56 |
Bright Moon Securities Limited |
Tso, Ka Sing 曹嘉升 |
+Rep |
2026-02-09 |
|
| 57 |
|
Zhen, Jingjing 甄晶晶 |
+RO |
2026-02-10 |
|
| 58 |
Bright Point International Futures Limited |
Cao, Xueting |
+Rep |
2026-02-04 |
|
| 59 |
Brookfield Advisors (Hong Kong) Limited |
Lau, Yiu Ki 劉耀棋 |
+Rep |
2026-02-12 |
|
| 60 |
Bullish HK Operations Limited |
Lau, Michael Ted Ho 劉德豪 |
+RO |
2026-02-06 |
|
| 61 |
|
Quinlivan, Robert James (SFC:BNW164) |
+RO |
2026-02-06 |
|
| 62 |
C CAPITAL INVESTMENT MANAGEMENT LIMITED |
Ren, Xiaozhu (SFC:BXJ279) 任笑竹 |
+Rep |
2026-02-12 |
|
| 63 |
CAITONG INTERNATIONAL SECURITIES CO., LIMITED |
Tam, Chiu Kin 譚超鍵 |
-Rep |
2025-08-21 |
2026-02-11 |
| 64 |
|
|
+RO |
2026-02-11 |
|
| 65 |
Capella Capital Limited (HK) |
Zhang, Yidan (SFC:BGT838) 張怡旦 |
+RO |
2026-02-03 |
|
| 66 |
Capula Investment Management Asia Limited |
Wong, Kin Man (SFC:BPY102) 王建民 |
+Rep |
2026-02-13 |
|
| 67 |
Carlyle Asia Limited (HK) |
Fan, Liwei 范理維 |
+Rep |
2026-02-03 |
|
| 68 |
CBH Asia Limited |
Wu, Xiaowen (SFC:BXG981) 吳晓文 |
+Rep |
2026-02-05 |
|
| 69 |
CEB International Asset Management Corporation Limited |
Wu, Chen (SFC:BXM208) 吳晨 |
+Rep |
2026-02-03 |
|
| 70 |
CELESTIAL COMMODITIES LIMITED |
Cheng, Chi Ho (SFC:AOV370) 鄭志豪 |
+RO |
2026-02-06 |
|
| 71 |
CELESTIAL SECURITIES LIMITED |
|
-Rep |
2025-12-09 |
2026-02-06 |
| 72 |
|
|
+RO |
2026-02-06 |
|
| 73 |
Changjiang Securities Brokerage (HK) Limited |
Wang, Bingqing (SFC:BXJ175) 王冰清 |
+Rep |
2026-02-12 |
|
| 74 |
CHIEF SECURITIES LIMITED |
Fung, Tin Tak 馮天德 |
+Rep |
2026-02-12 |
|
| 75 |
|
Lo, Ching To 盧正韜 |
+Rep |
2026-02-02 |
|
| 76 |
|
Yan, Ka Lok (SFC:ARK078) 甄家樂 |
-Rep |
2025-09-01 |
2026-02-10 |
| 77 |
|
|
+RO |
2026-02-10 |
|
| 78 |
China Angel Fund Management (HK) Company Limited |
Sun, Zhijun (SFC:BXI928) 孫志軍 |
+Rep |
2026-02-12 |
|
| 79 |
China Asset Management (Hong Kong) Limited |
He, Rui (SFC:BNC933) |
-Rep |
2018-06-22 |
2026-02-10 |
| 80 |
|
|
+RO |
2026-02-10 |
|
| 81 |
CHINA SKY SECURITIES LIMITED |
Sun, Zhijun (SFC:BXI928) 孫志軍 |
+Rep |
2026-02-12 |
|
| 82 |
Country Capital Asia Limited |
Chan, Chun King 陳振琼 |
+RO |
2026-02-02 |
|
| 83 |
|
Leung, Tat Kwong 梁達光 |
+RO |
2026-02-02 |
|
| 84 |
|
Shu, Shan (SFC:ATY750) 許珊 |
+RO |
2026-02-02 |
|
| 85 |
Kang Sheng Asset Management Limited |
Mao, Beichen 毛北辰 |
+RO |
2026-02-10 |
|
| 86 |
|
Tsui, Cheuk Chi 徐卓志 |
+RO |
2026-02-10 |
|
| 87 |
Lumination Capital Partners Limited |
Cao, Weihua 曹偉華 |
+RO |
2026-02-13 |
|
| 88 |
|
Yang, Yunfan (SFC:BUC717) 楊云帆 |
+RO |
2026-02-13 |
|
| 89 |
Olive Asset Management (Hong Kong) Limited |
Gu, Yu (SFC:BXP983) 顧嶼 |
+Rep |
2026-02-11 |
|
| 90 |
SILVERBRICKS ASSET MANAGEMENT COMPANY LIMITED |
Wong, Kam Yui 黃金銳 |
-RO |
2024-09-25 |
2026-02-06 |
| 91 |
SILVERBRICKS SECURITIES COMPANY LIMITED |
|
-RO |
2024-09-25 |
2026-02-06 |
| 92 |
SmartNob Asset Management Limited |
Kaan, Saik Kong Thomas 簡錫光 |
+RO |
2026-02-06 |
|
| 93 |
|
Wong, Shing Yip (SFC:AQM559) 王成業 |
+RO |
2026-02-06 |
|
| 94 |
|
Wu, Chi Ting 吳其定 |
+RO |
2026-02-06 |
|
| 95 |
Surging Waves Capital Limited |
Law, Chi Yuen (SFC:BAF301) 羅志遠 |
+RO |
2026-02-13 |
|
| 96 |
|
Siu, Wing Man 蕭永文 |
+RO |
2026-02-13 |
|
| 97 |
VICTORY FINTECH COMPANY LIMITED |
Bian, Zhiwei 卞志偉 |
+RO |
2026-02-13 |
|
| 98 |
|
Davidson, Andrew Alan (SFC:BTF119) |
+RO |
2026-02-13 |
|
| 99 |
|
Day, Donald Kurt |
+RO |
2026-02-13 |
|
| 100 |
|
Zhou, Lele 周樂樂 |
+RO |
2026-02-13 |
|
| 101 |
Violux Research Limited |
Lui, Christopher Yue Kwong 雷宇光 |
+RO |
2026-02-13 |
|
| 102 |
|
Tang, Ruyi 唐如一 |
+RO |
2026-02-13 |
|
| 103 |
WELLS GRAND ASSET MANAGEMENT HONG KONG LIMITED |
Chen, Qiang (SFC:BWA687) 陳強 |
+RO |
2026-02-09 |
|
| 104 |
|
Fang, Jianfeng (SFC:BNV382) 方建峰 |
+RO |
2026-02-09 |
|
| 105 |
Yuanhe Capital HK Company Limited |
Shao, Rongrong (SFC:BWO588) 邵榮榮 |
+RO |
2026-02-13 |
|
| 106 |
|
Wu, Xiao (SFC:BWO592) 吳曉 |
+RO |
2026-02-13 |
|
| 107 |
ZheRui Investment Limited |
Hou, Dawei 侯大為 |
+RO |
2026-02-13 |
|
| 108 |
|
Wang, Zhe (SFC:BWE869) 王哲 |
+RO |
2026-02-13 |
|
