Keefe, Bruyette & Woods Asia Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Keefe, Bruyette & Woods Asia Limited, a Hong Kong-based licensed corporation with CE reference AUI281. Current licensed staff on file: 0 (total recorded over time: 29). Earliest licence on file: 2010-03-03.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | 2010-03-03 | 2013-04-24 |
| Type 4 — Advising on securities | 2010-03-03 | 2013-04-24 |
| Type 6 — Advising on corporate finance | 2010-03-03 | 2013-04-24 |
Licensed staff (all-time) (29)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Warren Nicholas Blight | RO 4 | 2010-03 | 2012-06 |
| Andre' Lionel Carey | RO 1 | 2010-03 | 2011-07 |
| Henry Fan | RO 1, 6 Rep 1, 6 | 2011-11 | 2012-11 |
| Brian Worthen Hunsaker | RO 4 | 2010-03 | 2012-11 |
| Bik San Leung 梁碧珊 | RO 1, 4, 6 | 2010-03 | 2012-12 |
| Zachry David Rosenberg | RO 1, 6 | 2010-03 | 2012-07 |
| Robert Hector John Spence | RO 1, 6 Rep 1, 4, 6 | 2011-08 | 2012-11 |
| William John Stacey 史達思 | RO 1, 4 Rep 1, 4 | 2010-06 | 2012-11 |
| Michael Lewis Starr | RO 1 Rep 1 | 2011-01 | 2012-11 |
| Lye Keong Tho | RO 1 | 2010-03 | 2012-11 |
| David Lawrence Threadgold | RO 4 | 2010-03 | 2012-11 |
| Jonathan Sheung Chern Yeoh | RO 1 Rep 1 | 2010-03 | 2012-11 |
| Wenjing Bao 鮑文婧 | Rep 4 | 2010-09 | 2012-11 |
| Bao Ling Chan | Rep 4 | 2010-03 | 2010-03 |
| Kwok Wah (SFC:AGO346) Cheung 張國華 | Rep 1 | 2010-03 | 2012-06 |
| Samuel Alexander Hilton | Rep 4 | 2010-03 | 2012-11 |
| Courtenay Kane | Rep 1 | 2012-04 | 2012-05 |
| Chun Kit (SFC:AQU092) Lam 林俊傑 | Rep 4 | 2010-03 | 2012-10 |
| Steffen Kolbe Larsen | Rep 1 | 2011-01 | 2012-10 |
| Zhongyuan Li 李仲源 | Rep 1, 6 | 2011-05 | 2012-11 |
| Yiting Liu 劉一婷 | Rep 4 | 2010-03 | 2012-06 |
| Jessica Zi Jie Lu 呂自潔 | Rep 1, 6 | 2010-08 | 2012-06 |
| Jun Oishi | Rep 4 | 2010-03 | 2012-01 |
| Ken Oiwa | Rep 4 | 2012-01 | 2012-06 |
| He Shin Randall Kim | Rep 1, 6 | 2010-03 | 2011-05 |
| Udith Sikand | Rep 4 | 2011-10 | 2012-11 |
| Natasha Tariq | Rep 1 | 2010-03 | 2012-11 |
| Sze Wui Tsai 蔡詩滙 | Rep 4 | 2010-06 | 2012-11 |
| Yu (SFC:AXZ079) Wei 韋鈺 | Rep 4 | 2011-08 | 2012-06 |
Showing 1–29 of 29