HSBC Securities (Asia) Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for HSBC Securities (Asia) Limited, a Hong Kong-based licensed corporation with CE reference AAB241. Current licensed staff on file: 0 (total recorded over time: 208).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2020-06-15 |
| Type 4 — Advising on securities | present | 2005-11-14 |
| Type 6 — Advising on corporate finance | present | 2005-02-01 |
| Type 7 — Providing automated trading services | present | 2005-02-01 |
| Type 9 — Asset management | present | 2005-02-01 |
Licensed staff (all-time) (208)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Tat H Au Yeung 歐陽達顯 | RO 1, 4, 6, 9 | Pre-2003 | 2004-01 |
| Otto Chun Shing Chan 陳鎮成 | RO 1, 4, 6, 9 | Pre-2003 | 2006-09 |
| Siu Chung (SFC:AFE223) Chan 陳紹宗 | RO 1 | 2017-11 | 2018-08 |
| Lai Ping (SFC:ABF741) Cheung 張麗萍 | RO 4, 9 | Pre-2003 | 2004-01 |
| James Anthony Crispin | RO 1 | 2009-02 | 2010-04 |
| Christopher Mark Dunham | RO 1 | 2007-07 | 2009-02 |
| Garry Owen Evans | RO 4 | 2003-11 | 2005-11 |
| Jonathan Stiles Hancock | RO 1 | Pre-2003 | 2009-01 |
| Franklin Ching Kuen Heng 幸正權 | RO 1, 4, 6, 9 | Pre-2003 | 2006-04 |
| Christopher Lawrence Hunt | RO 1, 4 | Pre-2003 | 2003-08 |
| Nilesh Surendra Rai Jasani | RO 4 Rep 4, 6, 9 | Pre-2003 | 2004-10 |
| Stephen Colin Moss | RO 1, 4, 6, 9 Rep 1 | Pre-2003 | 2004-02 |
| Jahanzeb Naseer | RO 4 | Pre-2003 | 2005-09 |
| Gerardo Gonzalez Pablo 巴布羅 | RO 1 | 2010-11 | 2018-08 |
| Rakesh Patel | RO 1 Rep 1 | 2004-11 | 2018-08 |
| Jefferson Saunders | RO 1 | 2009-03 | 2016-01 |
| Robert Thomas Vaudry | RO 1, 4 Rep 1, 4 | 2004-07 | 2005-11 |
| Lee Peter Wallace | RO 1 Rep 1 | 2005-07 | 2008-11 |
| Hossein Zaimi 薛浩成 | RO 1 | 2017-12 | 2018-08 |
| Andrew Bernard Alexander 安力德 | Rep 1 | 2005-02 | 2005-02 |
| Alex Wai Chi Au 區偉志 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-01 |
| Ping Au-Young 歐陽平 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-11 |
| Ariane Marie Barker | Rep 1 | 2005-05 | 2007-07 |
| Richard Jeremy Barton | Rep 1 | 2005-06 | 2005-11 |
| Russell William Beattie | Rep 1 | 2004-10 | 2005-11 |
| Carl Thomas Berrisford | Rep 1 | 2003-05 | 2004-01 |
| Anna Marie Borzi | Rep 4, 6, 9 | Pre-2003 | 2003-10 |
| Martin Bradley | Rep 1, 4, 6, 9 | Pre-2003 | 2005-10 |
| Alan Yuk Lun Chan 陳玉倫 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-12 |
| Andrew Ding Bong Chan 陳定邦 | Rep 4, 6, 9 | Pre-2003 | 2005-06 |
| Andrew Shingfun Chan 陳盛勳 | Rep 4 | 2005-06 | 2005-11 |
| Dominic Koon Shing Chan 陳冠成 | Rep 4 | 2004-07 | 2004-10 |
| Hon Wah Chan 陳漢華 | Rep 1 | 2008-11 | 2018-08 |
| Kerry Mo Yu Chan 陳慕瑜 | Rep 1 | 2005-07 | 2005-11 |
| Mark Kar Yue Chan 陳嘉裕 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-10 |
| Rene Hoi Yan Chan 陳海茵 | Rep 1 | 2006-03 | 2007-08 |
| Wei Beng Chan 陳偉敏 | Rep 4 | 2003-08 | 2004-05 |
| Yiu Fai (SFC:AEG477) Chan 陳耀輝 | Rep 4, 6, 9 | Pre-2003 | 2005-11 |
| Chao-Kung Chang 張肇恭 | Rep 1 | 2003-11 | 2005-11 |
| Po-Chi Chang 張博淇 | Rep 4 | 2003-10 | 2004-05 |
| Christopher Lee Chappel | Rep 1 | 2005-04 | 2005-06 |
| Hsiao-Ying Chen 陳曉瑩 | Rep 1 | 2005-02 | 2005-09 |
| Lawrence Yung Chen 鄭勇 | Rep 4, 6, 9 | Pre-2003 | 2004-09 |
| Hon Fai Cheng 鄭漢輝 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-11 |
| Vivinne Cheng 鄭慧玄 | Rep 1 | 2005-05 | 2005-11 |
| Yee Pun Cheng 鄭宜斌 | Rep 4 | 2004-09 | 2005-11 |
| Yat Ming Cheung 張一鳴 | Rep 4, 6, 9 | Pre-2003 | 2005-05 |
| Venant Chiang 蔣卓男 | Rep 4 | 2005-10 | 2005-11 |
| Leon Hak Kan Chik 植克勤 | Rep 4 | 2005-05 | 2005-11 |
| Victoria Vui Luen Chin 陳維倫 | Rep 1 | 2005-08 | 2005-11 |
| Carmen Wai Ching Choi 蔡慧貞 | Rep 4 | 2005-08 | 2005-11 |
| Yoon Hee Choi | Rep 4 | 2003-11 | 2004-01 |
| Lee Leng Chua | Rep 1 | 2005-06 | 2005-11 |
| Siong Kheng Chua 蔡尚慶 | Rep 4, 6, 9 | Pre-2003 | 2004-07 |
| Alden Kam Wah Chung 鍾金華 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-01 |
| Tony Ming Lok Chung 鍾明烙 | Rep 1 | 2003-09 | 2005-10 |
| Michael James Cooney | Rep 1 | 2004-09 | 2005-11 |
| Anish Dinesh Damania | Rep 4 | 2004-07 | 2005-06 |
| Alexander Edward Dickinson | Rep 1, 4, 6, 9 | Pre-2003 | 2005-11 |
| Mihir Vinod Doshi | Rep 1 | 2004-07 | 2005-11 |
| Vipul Dujari | Rep 1 | 2004-08 | 2005-02 |
| Todd Glenn Dunivant | Rep 4 | 2005-04 | 2005-11 |
| Adrian Richard Howard Dunn | Rep 4 | 2003-08 | 2004-06 |
| Jeffrey Sai Tai Fang 方世泰 | Rep 4 | 2005-07 | 2005-11 |
| Scott Mather Foster | Rep 4 | 2005-03 | 2005-11 |
| Hon Nam Fung 馮漢南 | Rep 4 | 2005-03 | 2005-11 |
| David Boys Gambrill | Rep 1 | 2003-08 | 2004-06 |
| Jonathan Garrick | Rep 1 | 2004-12 | 2005-11 |
| Vidyadhar Vasant Ginde | Rep 4 | 2004-07 | 2005-11 |
| Daryl Shao Loong Goh 吳少龍 | Rep 4, 6, 9 | Pre-2003 | 2005-08 |
| Joel Stephan Guglietta | Rep 4 | 2005-03 | 2005-10 |
| Pramod Gupta | Rep 4 | 2005-03 | 2005-11 |
| Martin David Hall | Rep 4 | 2004-03 | 2004-11 |
| Michael John Hanson-Lawson | Rep 1 | 2003-11 | 2004-05 |
| Andrew Robin Alexander Haskins | Rep 4 | 2005-05 | 2005-11 |
| Douglas Tetsuya Hayashi | Rep 4 | 2005-05 | 2005-11 |
| Chun Wai Heung 香鎮偉 | Rep 4 | 2003-05 | 2003-10 |
| Kenneth Kai Chung Ho 何啟忠 | Rep 4 | 2004-11 | 2005-11 |
| Chien Han Hong 洪千涵 | Rep 4 | 2005-04 | 2005-11 |
| Adam James Hylan | Rep 4 | 2005-08 | 2005-11 |
| Peter John Hyland | Rep 1, 4, 6, 9 | Pre-2003 | 2004-01 |
| Kartik Chimanlal Jajal | Rep 1, 4, 6, 9 | Pre-2003 | 2004-03 |
| Anish Puspasen Jhaveri | Rep 1 | 2004-06 | 2005-11 |
| Christopher Lind Johnson | Rep 1, 4, 6, 9 | Pre-2003 | 2003-07 |
| Franklin Pak Wah Kam 金百華 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-04 |
| Tyran Kam 金泰倫 | Rep 4 | 2005-07 | 2005-11 |
| Alan Kan 簡兆倫 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-07 |
| Hyun Ho Kim 金賢鎬 | Rep 1 | 2005-04 | 2005-11 |
| Peter Sin Kim | Rep 1, 4, 6, 9 | Pre-2003 | 2005-07 |
| David Young Ko | Rep 4 | 2003-09 | 2004-01 |
| Desmond Chin Hung Ko 高展雄 | Rep 1 | 2007-07 | 2014-02 |
| Russell Jerome Kopp | Rep 4 | 2004-10 | 2005-11 |
| Wing Lok Kwan 關榮樂 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-01 |
| Chau Wan Kwok 郭秋雲 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-04 |
| Sylvia Wan Man Kwong 鄺韻文 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-08 |
| Sum Sum Lam 林森森 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-06 |
| Che Wah Lau 劉志華 | Rep 1 | 2005-09 | 2005-11 |
| Chun Hou Lau 劉俊厚 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-11 |
| Hwa Jen Lau 劉華仁 | Rep 4 | 2003-07 | 2003-10 |
| Mimmi Siu Mei Lau 劉少薇 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-06 |
Showing 1–100 of 208