SMBC Nikko Securities (Hong Kong) Limited（CE 編號 BWU838）是香港證監會持牌法團。首次發牌日期為 2026-03-19。其證監會牌照目前有效。獲准進行 5 項受規管活動：第 1 類 (證券交易)、第 2 類 (期貨交易)、第 4 類 (就證券提供意見)、第 5 類 (就期貨提供意見)、第 6 類 (機構融資)。
| 類別 | English | 中文 | 生效日期 |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2026-03-19 |
| RA 2 | Dealing in Futures Contracts | 期貨合約交易 | 2026-03-19 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2026-03-19 |
| RA 5 | Advising on Futures Contracts | 就期貨合約提供意見 | 2026-03-19 |
| RA 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2026-03-19 |
按法律名稱與港交所公布的參與者及交易權持有人名單配對，每日更新。括號內為港交所參與者編號。
| CE編號 | 姓名 | 中文 |
|---|---|---|
| ACP644 | HATTORI Hironori | |
| AJI380 | SAMPSON Machiko | |
| ALU744 | YUE Ho Tung, Tony | 余浩東 |
| ANQ606 | KWEK Li Ern Joy | 郭麗恩 |
| AVS886 | HONG Yancheng | 洪研程 |
| BDM851 | FUJII Shunsuke | 藤井俊介 |
| BFN673 | HE Haotian | 何昊天 |
| BGM560 | SHIMAMOTO Arisa | |
| BJT527 | ARAKI Yushi | 荒木裕史 |
| BRD832 | SONG Rong | 宋嵘 |
| BTW371 | MAKITA Yushi | |
| BWE291 | ZAMAN Salim |
| CE編號 | 姓名 | 中文 |
|---|---|---|
| AFK707 | KATO Mayumi | 加藤真由美 |
| AMJ337 | CARLONE Thomas | |
| ANM994 | SEGAL James Marc Lee | |
| AOQ605 | MURAMATSU Takaaki | |
| AOR340 | YAMAGUCHI Atsushi | |
| APR494 | KIKUCHI Satoru | |
| ARG517 | HE Yulin | 何羽琳 |
| AUY917 | KONDO Ken | |
| AVM642 | SATO Masahiko | |
| AWH795 | LEE Jooho | |
| AXG088 | HWANG Jennifer Nicole | 黃悅真 |
| AZO719 | WONG Adrian Alexander | 王一鳴 |
| BAB713 | KATSURA Ryosuke | 桂 竜輔 |
| BAI839 | LAM King Sau | 林勁秀 |
| BBE980 | LEE Sin Ki | 李倩琪 |
| BBG425 | MORIMOTO Akira | |
| BBR446 | TSUKAMOTO Kenichi | |
| BBS846 | HANAYA Takeru | 花屋武 |
| BDC539 | HO Hiu Kwan | 何曉筠 |
| BDH211 | LAM Ka Wun, Gary | 林家垣 |
| BEL237 | TAZAWA Junichi | |
| BFA665 | MINAGAWA Ryozo | |
| BFN857 | CHRISTIE Neill Alexander | |
| BGU411 | CHAN Ching Han | 陳靜嫻 |
| BHP540 | HAMADA Joyce Michiko | 浜田美智子 |
| BIN850 | MIYAMOTO Go | |
| BNG890 | PENAVIC Stjepan Drzislav | |
| BNO157 | LAI Chi Ian | 黎芷昕 |
| BNY395 | SAKURAI Aya | |
| BOP111 | HUANG Xinzhe | 黃昕哲 |
| BOZ241 | KOBAYASHI Kaya | 周宛嬋 |
| BPK385 | WATANABE Hiroharu | 渡邊 洋治 |
| BQE962 | ZHOU Hanyi | 周涵逸 |
| BRD721 | CAI Qifang | 蔡企放 |
| BRV322 | WONG Tsz Wa | 黃梓華 |
| BSP505 | ZHAO Pengliang | 趙鵬亮 |
| BSQ712 | LEUNG Yuen Yi Kim | 梁苑怡 |
| BSU071 | TANG Le Geng | |
| BSZ005 | YEUNG Pui Fan | 楊佩芬 |
| BSZ532 | LEUNG Man Chung Francis | 梁文聰 |
| BTR442 | NG Wing Kin Ricky | 吳榮堅 |
| BTR951 | USUI Susumu | |
| BTT887 | FUJIMOTO Junichi | |
| BTV590 | KO Megumi | 顧恵實 |
| BTW788 | OHASHI Yoichi | |
| BUB205 | QUINNELL Simon James David | |
| BUC567 | SPITTY Luke Robert Soltesz | |
| BUD182 | QIU Yuran | 邱羽然 |
| BUD273 | HARA Takayuki | |
| BUG049 | TORII Hiroshi | |
| BUH799 | WADA Hiroshi | |
| BUH923 | YASUDA Hikaru | |
| BUI349 | YOSHIDA Hayato | |
| BUK376 | KANAMORI Kuni | |
| BUM344 | TANIDE Len | |
| BUM589 | NAKAMURA Takashi | |
| BUO409 | KAWASHIMA Hiroki | |
| BUQ508 | MAKINO Junichi | |
| BUQ509 | MAEDA Takuya | |
| BUR287 | YOSHIOKA Yasuki | |
| BUR295 | MAEDA Eiji | |
| BUS421 | MURAKI Masao | |
| BVA951 | TAKAHASHI(KAKUGAWA) Naoko | |
| BVD843 | NAKAJI Daishi | 中路大士 |
| BVE265 | ATO Koki | 阿藤康貴 |
| BVG861 | TANG Min | 湯敏 |
| BVH337 | MATSUO Kenya | |
| BVH414 | FUKUNAGA Rie | |
| BVH802 | KAMICHIKA Koji | |
| BVI126 | MINOO Emiri Emily | |
| BVI971 | ITO Keiichi | |
| BVK145 | OSHIO Toshihiko | |
| BVK153 | KOKABU Takashi | |
| BVK411 | MARUYAMA Susumu | |
| BVK494 | LIU Xia | 刘夏 |
| BVL349 | TANINAKA Satoshi | |
| BVM450 | TOKUMOTO Shinnosuke | |
| BVN912 | SUGIYAMA Takeshi | 杉山豪 |
| BVN913 | OZAWA Yoshio | |
| BVO125 | INABA Shogo | 稲葉昇吾 |
| BVO338 | KODAMA Ryosuke | |
| BVO380 | TAKADA Yuki | |
| BVO614 | AMIRA Chafik | |
| BVQ070 | KANEKO Mayo | |
| BVQ216 | LIU Xunzhe | 刘迅喆 |
| BVQ649 | KADOTA Hiroyuki | |
| BVT154 | LIU Zheng | 刘 铮 |
| BVT899 | KOSAKA Daisuke | 高坂太佑 |
| BVW774 | NAKANISHI Yoichiro | 中西曜一郎 |
| BVX443 | YOSHINO Yutaka | 吉野豊 |
| BVX671 | KAWAMURA Kazuki | 川村一気 |
| BVZ573 | ONUMA Kenichi | |
| BVZ643 | HARADA Kentaro | 原田賢太郎 |
| BVZ644 | KAY Anthony | |
| BVZ649 | KYOGOKU Rei | 京極玲 |
| BVZ874 | SUDO Hideo | 須藤秀夫 |
| BVZ888 | HE Chun | 何淳 |
| BVZ918 | KAMIYA Yoshikazu | 神谷嘉一 |
| BWB665 | ABE Kazuyuki | 阿部一幸 |
| BWC349 | DEN Miki | 田未来 |