Northern Trust Company of Hong Kong Limited, The
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Northern Trust Company of Hong Kong Limited, The, a Hong Kong-based licensed corporation with CE reference ACO807. Currently licensed for regulated activity type(s) 1 — Dealing in securities; 2 — Dealing in futures contracts; 4 — Advising on securities; 9 — Asset management. Current licensed staff on file: 19 (total recorded over time: 151). Earliest licence on file: 2011-09-05.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Asset management →
Registered address
Suite 3001-3006, Three Pacific Place, 1 Queen's Road East
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | present |
| Type 2 — Dealing in futures contracts | 2011-11-02 | present |
| Type 4 — Advising on securities | 2017-03-10 | present |
| Type 9 — Asset management | 2011-09-05 | present |
Licensed staff (all-time) (151)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Craig Stewart Annakin | RO 1, 2 | 2011-11 | 2015-02 |
| Robert Lauriston John Arnott | RO 1, 4 | 2017-03 | 2021-06 |
| Lawrence Kin Wah Au 區建華 | RO 1 | Pre-2003 | 2010-03 |
| Richard Boldt Bentsen | RO 1 | Pre-2003 | 2003-06 |
| Thomas Robert Benzmiller | RO 1 Rep 1 | 2005-04 | 2014-05 |
| Wayne George Bowers | RO 1, 2, 9 | 2012-09 | 2018-01 |
| Ching Ha Chau 周靜霞 | RO 9 Rep 9 | 2020-11 | Present |
| Keng Hin Chuah 蔡景興 | RO 1, 2, 9 Rep 9 | 2011-10 | 2017-04 |
| Jeffery Coyle | RO 1 Rep 1 | 2019-02 | Present |
| Sunil Prem Daswani | RO 1 Rep 1 | 2005-03 | 2017-11 |
| Patrick Edward Dwyer | RO 9 Rep 1 | 2011-02 | 2012-03 |
| Bun Sieng Eng | RO 1 Rep 1 | 2011-10 | Present |
| Dane Gower Fannin | RO 1, 4 Rep 1 | 2008-03 | Present |
| Yumi Farquhar | RO 1 | Pre-2003 | 2011-10 |
| Cameron Duncan Footer | RO 1, 4 | 2017-03 | 2021-02 |
| Madhu Kanth Gayer | RO 1 | 2009-12 | 2012-09 |
| Andrew Charles Geggus | RO 1 Rep 1 | 2017-07 | 2020-01 |
| Kevin Shane Lee Hardy | RO 1, 2, 9 Rep 1 | 2008-10 | 2012-09 |
| Caroline Mary Higgins | RO 1, 2, 4, 9 | 2021-07 | 2023-09 |
| Lesley Elaine Hodgson | RO 1 Rep 1 | 2006-02 | 2009-04 |
| John Laurence Irwin | RO 1 | 2018-07 | 2022-09 |
| Aisling Helen Keane | RO 1, 4 Rep 1, 4 | 2024-01 | 2025-05 |
| Bo Rolf Anders Kratz | RO 1, 2, 9 Rep 1 | 2012-11 | 2015-12 |
| Chi Ping Lam 林治平 | RO 1, 2, 4, 9 Rep 1, 2 | 2014-07 | Present |
| Margaret Man Nei Law 羅敏妮 | RO 1 Rep 1 | 2011-03 | 2018-06 |
| Kwok Ming Leung 梁國明 | RO 1 Rep 1 | 2003-06 | 2008-07 |
| John Martin Mc Careins Jr | RO 1, 2, 4, 9 Rep 1 | 2016-04 | 2025-04 |
| Brian Patrick Ovaert | RO 1, 2, 9 | 2014-01 | 2015-03 |
| Gregory Robert Pasieka | RO 1, 2, 9 Rep 9 | 2012-10 | 2022-10 |
| Bertelino Pereira Rebelo | RO 1 Rep 1 | 2005-10 | 2015-12 |
| Thuan Shiah Michael Tan | RO 1, 2 Rep 1, 2, 9 | 2015-08 | Present |
| Tsun Chiek Tee 鄭俊傑 | RO 1 | 2004-03 | 2004-12 |
| David Allan Timpany | RO 1 | Pre-2003 | 2005-01 |
| George Bentley Trapp | RO 1 | 2008-08 | 2009-07 |
| Tsit Shan Tung 董哲珊 | RO 1 Rep 1, 4 | 2011-11 | 2023-10 |
| Richard Allan Vigsnes Jr | RO 1, 2 | 2011-11 | 2021-06 |
| Manfred Man Chun Wong 黃文俊 | RO 1, 2, 4, 9 Rep 1, 2, 9 | 2012-02 | Present |
| Michael Chu Mo Wu | RO 1, 2, 4, 9 | 2015-06 | 2021-06 |
| Bradford Simonds Adams Jr | Rep 1 | 2010-04 | 2012-02 |
| Masahiro Aikawa 相川雅宏 | Rep 9 | 2014-04 | 2021-02 |
| Andrew James Allison | Rep 9 | 2018-08 | 2020-09 |
| Volodymyr Bagriy | Rep 9 | 2023-02 | 2025-04 |
| Shlomo Bassous | Rep 9 | 2011-10 | 2015-12 |
| James Nicholas Bateman | Rep 1 | 2008-03 | 2009-03 |
| Carter Wilson Bishop | Rep 1 | 2014-10 | 2017-01 |
| Bradley Joseph Blackwell | Rep 1 | 2013-02 | 2015-03 |
| Robert Patrick Browne | Rep 1 | 2009-07 | 2021-05 |
| Neil Allan Campling | Rep 1, 4 | 2017-05 | 2017-09 |
| Pamela Pui Pui Chai 蔡蓓蓓 | Rep 1 | Pre-2003 | 2007-04 |
| Jeffrey Chun Kee Chan 陳鎮基 | Rep 1 | 2025-01 | Present |
| Margaret Hiu Fung Chan 陳曉楓 | Rep 1 | 2007-10 | 2011-05 |
| Alexis Chi Wing Chark 翟志榮 | Rep 1 | Pre-2003 | 2006-10 |
| Po Hsiu Chen | Rep 1 | 2020-08 | 2022-06 |
| Xing Cheng 程星 | Rep 1 | 2009-01 | 2017-11 |
| Hei Cheung 張曦 | Rep 1 | 2010-05 | 2010-09 |
| Kai Ho (SFC:BLY773) Cheung 張繼浩 | Rep 1, 4 | 2020-05 | 2022-01 |
| Kwan Ho (SFC:BSR542) Cheung 張鈞浩 | Rep 1, 4 | 2022-07 | 2024-08 |
| Meng Chu Cheung 張孟珠 | Rep 1 | Pre-2003 | 2004-11 |
| Philip Fuk Yip Chiang 蔣福業 | Rep 1 | 2008-10 | 2011-07 |
| Lok Yi Chim 詹樂怡 | Rep 1 | 2019-08 | Present |
| Kaitlyn Shiyuet Choo 朱世悅 | Rep 1 | 2013-10 | 2015-10 |
| Chi Man Chow 鄒志文 | Rep 1 | 2008-03 | 2011-05 |
| Christopher Yuk Hei Chow 周昱希 | Rep 1 | 2018-06 | 2018-11 |
| Man Chow 周敏 | Rep 1 | 2012-02 | 2015-07 |
| Andrew Robert Clayton | Rep 1 | 2006-06 | 2020-10 |
| Mark Edward Coker | Rep 1 | 2014-09 | 2014-12 |
| Dian (SFC:BNC301) Deng 鄧典 | Rep 1 | 2018-07 | 2019-05 |
| Stephen Dowds | Rep 1 | 2006-06 | 2009-03 |
| Margret Eva Duvall | Rep 1 | 2011-03 | 2019-01 |
| Nicholas James Dymond | Rep 1, 9 | 2010-09 | 2019-01 |
| Charles Anthony Earnshaw | Rep 1 | 2005-10 | 2007-09 |
| Helen Rebecca Eastwood | Rep 1, 4 | 2017-05 | 2021-06 |
| Anders Jimmy Fahlin | Rep 9 | 2012-03 | 2014-06 |
| Maggie Mei Kei Fan 樊美姬 | Rep 1 | 2015-11 | 2016-12 |
| Janaki Marina Fonseka | Rep 1 | 2005-07 | 2008-04 |
| Seamus Fox | Rep 1 | 2022-09 | 2023-08 |
| Johnson Chun Kit Har 夏俊傑 | Rep 1 | 2017-06 | 2018-11 |
| Wilson Wai Shun Har 夏偉舜 | Rep 1, 2 | 2017-12 | 2025-12 |
| Grace Susan Hayman | Rep 1 | 2019-03 | 2020-10 |
| Ada Siu Yung Ho 何少容 | Rep 1 | 2005-08 | 2009-11 |
| Yee Ki Ho 何漪淇 | Rep 1 | 2010-08 | 2015-02 |
| James Allen Hutchinson | Rep 1 | 2019-08 | 2022-05 |
| Simon Andrew Hutchinson | Rep 1 | 2009-09 | 2014-10 |
| Min Wen Hwang | Rep 1 | 2020-05 | Present |
| Benjamin Taylor Jenkins | Rep 1 | 2019-03 | 2019-11 |
| Mikiko Kawai | Rep 1 | 2011-05 | 2012-04 |
| Taeyoung Kim 金泰永 | Rep 1, 4 | 2022-02 | 2025-11 |
| Mei Mei Kwan 關美美 | Rep 1 | 2007-10 | 2011-08 |
| Suet Ying Lily Vanessa Kwok 郭雪英 | Rep 1 | 2018-11 | 2019-10 |
| Ka Wai (SFC:AIJ824) Lam 林嘉蕙 | Rep 1 | 2008-04 | 2010-11 |
| Samuel Cheuk Hang Lau 劉卓鏗 | Rep 1 | 2003-07 | 2006-12 |
| Ambrose Yin Ting Lee 李彥霆 | Rep 1 | 2009-06 | 2013-10 |
| Eric Joon Ho Lee | Rep 1, 4 | 2016-12 | 2025-07 |
| Halim Lee | Rep 1, 4 | 2021-02 | 2021-12 |
| Katherine Kar Pui Lee 李嘉珮 | Rep 1 | 2005-07 | 2019-05 |
| Yen Ting Lee 李言亭 | Rep 1 | 2022-11 | Present |
| Shuk Kwan Leung 梁淑群 | Rep 1 | 2006-01 | 2007-09 |
| Tsui Ying Leung 梁翠瑩 | Rep 1 | 2006-10 | 2016-03 |
| Dianna Hui Huang Lew 劉蕙璜 | Rep 1 | 2006-10 | 2007-04 |
| Xiaojing Valerie Li 李筱菁 | Rep 1 | 2019-05 | Present |
Showing 1–100 of 151
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