Daiwa Capital Markets Trading Hong Kong Limited
大和資本市場金融交易香港有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daiwa Capital Markets Trading Hong Kong Limited (大和資本市場金融交易香港有限公司), a Hong Kong-based licensed corporation with CE reference AGS075. Current licensed staff on file: 0 (total recorded over time: 91). Earliest licence on file: 2007-10-10.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2016-10-25 |
| Type 2 — Dealing in futures contracts | 2007-10-10 | 2016-10-25 |
| Type 4 — Advising on securities | present | 2004-07-23 |
| Type 6 — Advising on corporate finance | present | 2004-07-23 |
| Type 9 — Asset management | present | 2004-07-23 |
Licensed staff (all-time) (91)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Tetsuo Akuzawa | RO 1, 2 | 2013-07 | 2015-07 |
| Darren Carter | RO 1, 4, 6, 9 | Pre-2003 | 2007-01 |
| Chun Chung Chan 陳振聰 | RO 2 Rep 1 | 2006-05 | 2015-01 |
| Kin Wah (SFC:AEN763) Chan 陳鍵華 | RO 1, 2 Rep 1, 4, 6, 9 | Pre-2003 | 2015-01 |
| Terence Ching Leung Cheung 張正樑 | RO 1, 2 Rep 1, 4, 6, 9 | Pre-2003 | 2012-07 |
| George Kwok Tung Ngan 顏國棟 | RO 1 Rep 1 | 2003-06 | 2008-12 |
| Hironori Oka | RO 1, 2 | 2011-06 | 2016-03 |
| Sajeev Sirpal | RO 1, 4, 6, 9 | Pre-2003 | 2003-10 |
| Masami Tada | RO 1, 2 | 2012-06 | 2013-07 |
| Satoshi Terasawa | RO 2 | 2015-05 | 2016-03 |
| Yoshio Urata | RO 1, 2 | 2011-04 | 2012-03 |
| Ivan Sze Yuen Wong 王士元 | RO 1 Rep 1, 2 | 2008-01 | 2015-03 |
| Wai Yan (SFC:AGG935) Wong 黃惠恩 | RO 1 Rep 1 | 2010-11 | 2016-01 |
| Shiko Yanagisawa | RO 1, 2 | 2015-07 | 2016-03 |
| Hatem Berrima | Rep 1 | 2008-03 | 2008-08 |
| Dominique Jean Rene Blanchard | Rep 1, 2 | 2011-04 | 2012-12 |
| Flora Wing Shuen Chan 陳穎璇 | Rep 1 | 2011-12 | 2013-11 |
| Julia Wai Nga Chan 陳慧雅 | Rep 1 | 2010-11 | 2016-01 |
| Ka Yeung Chan 陳嘉陽 | Rep 1 | 2004-09 | 2005-01 |
| Katherine Chan 陳家歡 | Rep 1 | 2004-11 | 2008-11 |
| Ronnie Kin Yu Chan 陳建宇 | Rep 1, 2 | 2004-09 | 2014-01 |
| Sharon Yuen Ting Chan 陳婉婷 | Rep 1 | 2010-11 | 2012-03 |
| Wai Chi (SFC:AHF464) Chan 陳慧芝 | Rep 1 | 2003-07 | 2004-07 |
| Yuk Bing Chan 陳玉冰 | Rep 1 | 2010-11 | 2012-03 |
| Man Chi (SFC:AGC897) Cheng 鄭敏芝 | Rep 1 | 2006-05 | 2015-01 |
| Siu Kiu Cheung 張小喬 | Rep 1 | 2010-11 | 2013-11 |
| Hsin Chiao 焦訢 | Rep 1, 2 | 2011-05 | 2011-09 |
| Sai Lung Chiong 張世龍 | Rep 1 | 2006-05 | 2007-07 |
| Wah Cheung Chu 朱華章 | Rep 1, 2 | 2006-05 | 2008-11 |
| David Jun Hao Chua 蔡俊豪 | Rep 1 | 2011-04 | 2012-02 |
| Philip Ching Kei Chung 鍾正祺 | Rep 1, 2 | 2010-11 | 2016-01 |
| Adam Aaron Cowperthwaite | Rep 1, 2 | 2010-11 | 2011-09 |
| Spencer Darryl Dobkins | Rep 1 | 2010-11 | 2012-10 |
| Frank Dominick | Rep 1, 4, 6, 9 | Pre-2003 | 2003-06 |
| Boris Xavier Feschet | Rep 1, 2 | 2011-03 | 2012-03 |
| Roy France | Rep 1 | 2005-10 | 2012-10 |
| Hsiang Chuan Fu 傅祥銓 | Rep 1 | 2005-10 | 2006-04 |
| Shojiro Fukano 深野正二朗 | Rep 1 | 2011-05 | 2011-10 |
| Niraj Mahendra Gupta | Rep 1, 2 | 2011-05 | 2012-06 |
| David James Hannan | Rep 1, 2 | 2011-05 | 2011-09 |
| Kwang Su Heo 許光洙 | Rep 1, 2 | 2007-12 | 2008-11 |
| Edouard Yves Maurice Pierre Hoepffner | Rep 1, 2 | 2011-05 | 2011-09 |
| Koji Horiai | Rep 1, 2 | 2011-05 | 2012-01 |
| Jae Hoon Hwang | Rep 1, 2 | 2011-05 | 2012-06 |
| Florence Hiu Man Ip 葉曉雯 | Rep 1 | 2003-05 | 2006-03 |
| Marc Steven Jenn | Rep 1 | 2008-11 | 2013-11 |
| John Richard Key | Rep 1 | 2010-11 | 2013-05 |
| Bansuk Kim | Rep 1, 2 | 2011-05 | 2012-09 |
| Chi Wo Ko 高志和 | Rep 1 | 2010-11 | 2011-02 |
| Joyce Lok Yee Lam 林樂怡 | Rep 1 | 2010-11 | 2015-03 |
| Kwong Yu Lam 林光宇 | Rep 1 | 2005-10 | 2006-03 |
| Tsz Lung (SFC:AJL083) Lau 劉子龍 | Rep 1 | 2004-02 | 2006-04 |
| Kit Shan Lee 李潔珊 | Rep 1 | 2010-11 | 2011-09 |
| Yuk Yee Patricia Leung 梁玉儀 | Rep 1 | 2011-05 | 2012-06 |
| Kathy Li 李嘉怡 | Rep 1 | 2010-11 | 2012-06 |
| Allan Lim | Rep 1, 2 | 2009-04 | 2010-11 |
| Yang (SFC:AXD891) Liu 劉洋 | Rep 1 | 2011-04 | 2013-09 |
| Kit Lan Lo 羅潔蘭 | Rep 1 | 2010-11 | 2012-06 |
| Rex Sui Yan Lo 盧穗欣 | Rep 1 | 2010-11 | 2011-09 |
| Shih-Hung Lo 羅仕泓 | Rep 1, 2 | 2010-11 | 2012-05 |
| Masashi Maetani 前谷雅司 | Rep 1, 2 | 2012-04 | 2012-08 |
| Lap Fung Ng 伍立峯 | Rep 1 | 2010-11 | 2012-02 |
| On Ki Pang 彭安琪 | Rep 1 | 2010-11 | 2011-09 |
| Henry Roger Jacques Parker | Rep 1 | 2013-07 | 2013-11 |
| Ahsan Pervez | Rep 1 | 2005-12 | 2006-03 |
| Julien Petit-Pasquier | Rep 1, 2 | 2010-11 | 2011-09 |
| Jamie Richard Sambruck | Rep 1 | 2012-11 | 2013-11 |
| David Sarkis | Rep 1, 2 | 2010-11 | 2012-03 |
| Shingo Shiozumi | Rep 1, 2 | 2012-04 | 2012-07 |
| Jan Souleyman | Rep 1 | 2011-04 | 2013-11 |
| Wei-Chia Su 蘇威嘉 | Rep 1 | 2005-01 | 2008-05 |
| Michiel Symoens | Rep 1 | 2010-11 | 2012-02 |
| Ho Ming Tang 鄧可明 | Rep 1 | 2010-11 | 2011-09 |
| Cyril Tikhomiroff | Rep 1 | 2011-05 | 2012-12 |
| Fu Wah Ting 丁富華 | Rep 1, 2 | 2008-01 | 2015-10 |
| Jason Tseng | Rep 1 | 2006-07 | 2007-08 |
| Didier Louis M. van Runckelen 王令龍 | Rep 1, 2 | 2008-01 | 2010-11 |
| Katie Chee Lai Wan 溫子麗 | Rep 1 | 2010-11 | 2015-07 |
| Naoki Watanabe | Rep 1 | 2010-11 | 2012-10 |
| Anson Gong Wah Wong 黃江華 | Rep 1, 2 | 2011-05 | 2011-09 |
| Jinrong Andy Wong 黃金融 | Rep 1, 2 | 2011-01 | 2012-04 |
| Kwok Cheung (SFC:AKV201) Wong 黃國彰 | Rep 1, 2 | 2008-03 | 2010-11 |
| Lawrence Kwok Hung Wong 王國雄 | Rep 1, 2 | 2009-03 | 2016-01 |
| Tin Lam Wong 黃天嵐 | Rep 1 | 2004-04 | 2005-08 |
| Maggie Ching Han Woo 胡靜嫻 | Rep 1 | 2010-11 | 2013-11 |
| Keng Chun Yeo 楊慶春 | Rep 1, 2 | 2008-04 | 2014-09 |
| Abbie Man Yan Yip 葉文炘 | Rep 1 | 2010-11 | 2013-11 |
| Takashi Yokosuka 橫須賀 | Rep 1, 2 | 2010-12 | 2012-04 |
| Kyonosuke Yoshida | Rep 1 | 2010-12 | 2011-10 |
| Ka Fai Yu 余家輝 | Rep 1, 2 | 2005-10 | 2011-09 |
| Ka Lai Yuen 阮嘉麗 | Rep 1 | 2010-11 | 2013-11 |
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