Legg Mason International Equities (Hong Kong) Limited
美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務)
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Legg Mason International Equities (Hong Kong) Limited (美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務)), a Hong Kong-based licensed corporation with CE reference AAJ408. Current licensed staff on file: 0 (total recorded over time: 64).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2015-08-28 |
| Type 4 — Advising on securities | present | 2015-08-28 |
| Type 5 — Advising on futures contracts | present | 2006-09-25 |
| Type 6 — Advising on corporate finance | present | 2004-10-19 |
| Type 9 — Asset management | present | 2015-08-28 |
Licensed staff (all-time) (64)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Lai Sze (SFC:ACO201) Chan 陳麗絲 | RO 1, 4, 5, 9 Rep 1, 4, 5, 6, 9 | Pre-2003 | 2014-07 |
| Mei Shan Chan 陳美珊 | RO 1, 4, 9 Rep 1, 4, 5, 9 | 2006-02 | 2014-07 |
| Winnie (SFC:AFD453) Chan 陳韻妮 | RO 1, 4, 9 Rep 1, 4, 9 | 2005-04 | 2014-04 |
| Yew Khee Choon 秦耀奇 | RO 1, 4, 9 Rep 1, 4, 6, 9 | Pre-2003 | 2006-07 |
| Irene Man Ling Chow 周雯玲 | RO 4, 9 Rep 1 | Pre-2003 | 2003-05 |
| Tathagata Guha Roy | RO 1, 4, 5, 9 Rep 1, 4, 9 | 2004-11 | 2005-08 |
| Jason Christopher Davenant Henchman | RO 1, 4, 9 | 2006-01 | 2010-01 |
| Samantha Shuk Yee Ho 何淑懿 | RO 1, 4, 9 Rep 1, 4, 9 | 2013-04 | 2013-11 |
| Jim Kandunias | RO 1 | 2011-11 | 2013-10 |
| Chun Sing Lee 李振聲 | RO 1, 4, 9 Rep 1, 4, 9 | 2008-06 | 2011-08 |
| Sai Yin Lee 李世賢 | RO 1, 4, 9 Rep 1, 4, 9 | 2006-08 | 2007-09 |
| Eugene See Charm Leung 梁思湛 | RO 1, 4, 9 Rep 1, 4, 9 | 2004-12 | 2013-05 |
| Sulia Huen Huen Lo 盧暄萱 | RO 4, 9 Rep 1 | Pre-2003 | 2004-04 |
| Carolyn Anne Lu 陸舜華 | RO 1, 4, 5, 9 Rep 1, 4, 6, 9 | Pre-2003 | 2006-05 |
| Anthony Yi Tong Muh 沐義棠 | RO 1, 4, 5, 6, 9 Rep 1 | Pre-2003 | 2005-04 |
| James Shields Newman | RO 4, 5, 9 Rep 1, 6 | Pre-2003 | 2004-01 |
| Pui Ting Au 歐佩婷 | Rep 1, 4, 9 | 2007-01 | 2010-11 |
| Beatriz Suarez Barnett | Rep 1, 4, 9 | 2005-06 | 2006-05 |
| Steven David Bleiberg | Rep 1 | 2003-10 | 2005-03 |
| Victoria Helen Bowers | Rep 1, 4 | 2006-08 | 2007-02 |
| Chun Man (SFC:AGJ907) Chan 陳俊文 | Rep 1, 4, 9 | 2006-02 | 2007-03 |
| Joyce Yin Kar Chan 陳彥嘉 | Rep 1, 4 | 2003-04 | 2003-12 |
| Karen Ka Ning Chan 陳嘉寧 | Rep 1, 4, 5, 9 | 2004-07 | 2011-07 |
| Nga Yan Chan 陳雅茵 | Rep 9 | 2003-06 | 2004-04 |
| Siu Chi Chan 陳少芝 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-05 |
| Chia-Hao Chen 陳家豪 | Rep 1 | 2004-09 | 2008-08 |
| Shun Yip Chow 周順業 | Rep 1, 4, 9 | 2011-06 | 2013-01 |
| Benjamin Clifford Day | Rep 4 | 2008-02 | 2008-12 |
| Ana Wai Man Fan 樊惠文 | Rep 1, 4, 9 | 2006-09 | 2007-07 |
| Man Yu Fong 方聞宇 | Rep 9 | 2003-07 | 2003-09 |
| Henry Patrick Hamrock | Rep 1, 4, 9 | 2006-12 | 2007-04 |
| Kevin John Hebner | Rep 4, 9 | 2004-12 | 2005-07 |
| Edwina Mei Ling Ho 何美玲 | Rep 1, 4, 9 | 2005-01 | 2006-03 |
| Hoi Pan Hui 許海濱 | Rep 1, 4, 5, 9 | 2006-04 | 2008-09 |
| Philip James Hunter | Rep 1, 9 | 2011-05 | 2013-03 |
| Kohei Iwahara | Rep 1, 4, 5, 9 | 2006-04 | 2008-09 |
| Pik Kwan Lai 黎璧君 | Rep 1, 9 | 2008-02 | 2011-05 |
| Josephine Lam 林詠琪 | Rep 1, 4, 9 | 2004-07 | 2013-03 |
| Linda Lam Lam 林霖 | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2006-07 |
| Tsz Lung Lau 劉子龍 | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2005-12 |
| Chiinhao Alex Lee 李君浩 | Rep 4, 9 | 2005-02 | 2009-03 |
| Melissa Lee 李潔冰 | Rep 1 | 2011-10 | 2012-01 |
| Patrick Kai Ho Lee 李啟豪 | Rep 1, 4, 5, 9 | 2004-02 | 2007-03 |
| Yin Tak Lee 李賢德 | Rep 1, 4, 5, 9 | 2003-10 | 2005-12 |
| Siao Tung Lim 林曉彤 | Rep 1, 4, 9 | 2006-04 | 2007-09 |
| Mark Stephen Lindbloom | Rep 1 | 2005-02 | 2005-03 |
| Kenneth Anthony Tak Chi Loh 陸德志 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-11 |
| Christine Ka Yee Mitchell 家宜 | Rep 1, 4, 9 | 2004-01 | 2005-10 |
| Ka Yee Joanna Poon 潘嘉怡 | Rep 1, 4, 9 | 2006-09 | 2007-04 |
| To Sing Poon 潘道成 | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2004-04 |
| Anand (SFC:ALS056) Ramachandran | Rep 1 | 2005-02 | 2005-03 |
| Mark Ridgway | Rep 1 | 2013-09 | 2014-04 |
| Lin (SFC:AMF516) Shi 石琳 | Rep 1, 9 | 2011-10 | 2014-04 |
| Hedy Su Ee Tan | Rep 1, 4, 9 | 2007-03 | 2007-04 |
| Freeman Siu For Tsang 曾劭科 | Rep 1, 4, 9 | 2004-10 | 2006-06 |
| Monique Kit Ting Tse 謝潔婷 | Rep 1, 4, 9 | 2006-12 | 2008-09 |
| Martina Kit Yee Wong 黃潔怡 | Rep 9 | 2003-06 | 2006-08 |
| Susie Anne Wong | Rep 1, 4, 6, 9 | Pre-2003 | 2004-05 |
| Cecilia Ngai See Wu 胡毅詩 | Rep 1, 4, 9 | 2004-09 | 2005-07 |
| Sze Man Wu 胡詩敏 | Rep 1, 4, 9 | 2005-10 | 2006-12 |
| Chi Kwan Yan 顏志軍 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-09 |
| Thiam Hu Yeo | Rep 1, 9 | 2004-04 | 2005-12 |
| Lethe Chui Wah Yian 任翠華 | Rep 1, 4, 9 | 2005-02 | 2007-11 |
| Yee Leng Yuen | Rep 1, 4, 9 | 2005-01 | 2014-07 |
Showing 1–64 of 64