Hongkong and Shanghai Banking Corporation Limited, The is a Hong Kong SFC registered institution (CE number AAA523). First licensed on 2006-08-17. Its SFC licence is currently active. It is licensed for 6 regulated activities: Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2006-08-17 |
| RA 2 | Dealing in Futures Contracts | 期貨合約交易 | 2010-01-22 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2006-08-17 |
| RA 5 | Advising on Futures Contracts | 就期貨合約提供意見 | 2008-07-23 |
| RA 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2006-08-17 |
| RA 9 | Asset Management | 提供資產管理 | 2013-07-26 |
Matched to HKEX’s published participant and trading-right lists by legal name, refreshed daily. The number in brackets is the HKEX participant ID.
| CE No. | Name | Chinese |
|---|---|---|
| ABY439 | LIU Che Ning | 劉哲寧 |
| ABZ794 | DE BASTO Roger Alexander | |
| ADY273 | SO Yuk Kit | 蘇煜傑 |
| AGC927 | CHANDLER Michael Lee | |
| AGF159 | LAU Yue Che, Adam | 劉宇池 |
| AHF980 | LIU Cheuk Hang, Alex | 廖卓恒 |
| AHX562 | CHAN Pui Kwan | 陳佩君 |
| AIB177 | YIM Lok Kui | 嚴樂居 |
| AJF168 | JEYARAJAH Chitranjan | |
| AJI837 | HON Sau Yee, Kenneth | 韓守義 |
| ALA854 | SUN George H | 孫鴻志 |
| ALP771 | CLARK Stephen John | |
| AMJ254 | TIN Ka Ho, Edmond | 田家豪 |
| AMU289 | WONG Tsz Cheuk | 黃子卓 |
| ANS159 | LI Helen | 李愷言 |
| AOA077 | CHUA Chong Xun, Christopher | 蔡崇訓 |
| APP339 | SHAHANI Dilip Kishinchand | |
| AQQ331 | SEMIN Herve Pierre Alexandre | |
| ARI510 | ABOUZAHR Sami Julian | |
| ARK102 | LIM Lina Poh Imm | 林寶音 |
| ARO381 | SUN Jie | 孫杰 |
| AUN842 | CAMPLISSON Eliot | |
| AVC355 | CHU Ka Ming, Lawrence | 朱家明 |
| AXK779 | YEUNG Yuk Yu | 楊玉如 |
| AYC388 | ZOLL Martin Klaus | |
| AYP973 | FORCIOLI Mathieu Jean | |
| AYR270 | MACKAY Stuart Bruce Rory | |
| AZC154 | FU Kayson | 傅啟盛 |
| BBS630 | LECHER Stefan Alexander | |
| BDM532 | CHU Chaoyang | 儲朝陽 |
| BRG642 | RAUHIO Jyrki Matti | |
| BRO998 | KADHIM Oliver | |
| BTK710 | KIM Daniel Nam | |
| BUF994 | COOPER James Michael | |
| BUS218 | PANG Shuk Ching | 彭淑貞 |
| BVA638 | DYNON James Francis | |
| BVK156 | CORDIER Clement Bertrand Michel | |
| BVX003 | NEUMANN-SCHNIEDEWIND Frederic Camille | |
| BWG052 | ER Xue Pin | 余學品 |
| BWP531 | YAU KIN FUN STEPHEN | 邱建勳 |
| BXM153 | NG Wing Yee Winnie | 吳詠儀 |