Yuanta Securities (Hong Kong) Company Limited is a Hong Kong SFC licensed corporation (CE number ABS015). First licensed on 2004-02-16. 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 | 2004-02-16 |
| RA 2 | Dealing in Futures Contracts | 期貨合約交易 | 2012-06-14 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2004-02-16 |
| RA 5 | Advising on Futures Contracts | 就期貨合約提供意見 | 2012-06-14 |
| RA 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2006-07-08 |
| RA 9 | Asset Management | 提供資產管理 | 2012-06-14 |
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 |
|---|---|---|
| ACJ314 | CHU Ka Kit, Peter | 朱家傑 |
| ACZ348 | WEN Tsung Hsien | 溫宗憲 |
| ALJ946 | CHEN Miao-Ju | 陳妙如 |
| ANJ604 | LAM Chi Lap, James | 林子立 |
| ANX197 | CHEN Ping-Yu | 陳品妤 |
| ANX459 | TEO Kim Guan | 張金源 |
| AOR995 | LI Fang | 厲放 |
| AOV395 | YANG Wu-Kuang | 楊武光 |
| ASD142 | HSU Chun-Yuan | 許春元 |
| ASN774 | CHUANG Wayne | 莊之瑋 |
| AUX104 | QUEK Chin Hung | 郭進漢 |
| BDV934 | HUNG Ka Wing, Jimson | 洪嘉榮 |
| BFX052 | YANG Yi Ting | 楊逸庭 |
| BNE452 | NING Szu Wei | 甯思維 |
| BTT237 | HSU Chia Hua | 許家華 |
| CE No. | Name | Chinese |
|---|---|---|
| AAB494 | CHAU Kwok Hung | 周國鴻 |
| AAB905 | HO Kwok Chung | 何國仲 |
| AAE294 | HO Yiu Keung, Boby | 何耀強 |
| AAK494 | CHENG Wai Hong | 鄭惠康 |
| AAK852 | CHU Hok Man, Herman | 朱學敏 |
| ABH274 | CHAN Ka Hung | 陳家雄 |
| ACE638 | MOK Jeanne | 莫靜芬 |
| ACL451 | NG Kwok Hung | 吳國雄 |
| ACX939 | LUK Chiu Kwong | 陸照光 |
| ADX075 | CHIU Tuen Leung | 趙端良 |
| AEF531 | LOK Kung Yao, Perry | 陸恭耀 |
| AEU921 | CHOI Kwok Ip | 蔡國業 |
| AFF290 | YUEN Hing Kin | 袁興健 |
| AGG703 | CHAN Bing Hang, Johnnie | 陳秉恒 |
| AIE136 | CHAU Ho Hei | 巢皓熙 |
| AJG263 | SO Jiarong | 蘇家榮 |
| AJR217 | TAM King Fung Keith | 談勁峰 |
| ALB384 | WANG Yun-Ping | 王允平 |
| ALH987 | KEE Chi Kwan | 紀志坤 |
| ALR717 | HSU Fei-Wen | 徐斐雯 |
| ALW475 | LEE Wei-Fang | 李維芳 |
| AMB196 | LIN Chih-Chien | 林志謙 |
| AMY822 | YIM Ching Wai, Kevin | 嚴政緯 |
| ANX459 | TEO Kim Guan | 張金源 |
| AOT897 | YUAN Shih-Hsiang | 阮世祥 |
| AOV395 | YANG Wu-Kuang | 楊武光 |
| AOX152 | WANG Ming-Chih | |
| APB221 | CHIU MEI-CHU | 邱美珠 |
| APB414 | LAI I-Ting | 賴奕婷 |
| APB416 | LEE Chia-Hua | 李嘉華 |
| APB419 | SU Chu-Ping | 蘇純平 |
| APB423 | LUNG Shu-Hua | 龍淑華 |
| APB427 | HOU Ting-Hsuan | 侯亭亘 |
| APB444 | LIN Yu-Feng | 林裕峰 |
| APC272 | WU Wan-Chi | 吳婉琪 |
| APH591 | LIN Wen-Hui | 林文惠 |
| APK336 | CHANG Huey-Miie | |
| APN786 | LIN Chia-Pei | 林佳佩 |
| APO868 | CHANG Hsien-Chun | 張憲鈞 |
| APR386 | LEE Yi-Ching | 李宜靜 |
| ARB818 | LEE Yin Man | 李彥文 |
| ARK059 | SZE TO Kwok Chun | 司徒國駿 |
| ARM302 | SHI Chun Hei | 佘俊熹 |
| ASC554 | HUANG Chi-Ming | 黃啟銘 |
| ASE092 | WONG Yiu Man | 王耀文 |
| ASE264 | MIAO Shun-Tang | 苗舜堂 |
| ASH902 | HSU Hsiu Ling | 許秀玲 |
| ASN774 | CHUANG Wayne | 莊之瑋 |
| ASO896 | HSU Li-Wen | 許瓈文 |
| ATL477 | WANG Shih Ping | 王世平 |
| ATS874 | FONG Yu | 方瑜 |
| AVW215 | YEUNG Kwun Po | 楊觀寶 |
| AWP642 | YU Ming Hui | 游明慧 |
| AXG751 | CHAN Wai Chi | 陳偉智 |
| AXT224 | CHOI Tak Fai | 蔡德輝 |
| AYJ279 | LAI Tsun Kit | 賴俊傑 |
| AYY978 | YEUNG Shun Heung | 楊順香 |
| BAK536 | WU Cheng-miao | 吳承妙 |
| BAV438 | HO Tsu-Hsien | 何祖賢 |
| BBB086 | YEUNG Kwok Kei | 楊國基 |
| BBH784 | LIU Chia-Ping | 劉家平 |
| BCZ934 | HSIEH Erin | 謝依玲 |
| BDV934 | HUNG Ka Wing, Jimson | 洪嘉榮 |
| BEJ759 | LI Lianfang | 李蓮芳 |
| BEM056 | WU Yi Ju | 吳宜儒 |
| BFN094 | LIN Xiayuan | 林夏苑 |
| BFT172 | YU Pak Ngai | 余柏毅 |
| BFT903 | TSANG Hin Fai | 曾顯煇 |
| BGL221 | LAM Ngai Hin | 林巍軒 |
| BHM953 | FONG Hi Man | 方喜雯 |
| BHT080 | LEE Huang Hsun | 李黃勳 |
| BHY240 | SU Shih Yen | 蘇施燕 |
| BHY493 | HUANG Chin | 黃槿 |
| BIZ047 | YANG JUN FEI | 楊均菲 |
| BJG465 | TSAI Wan Chun | 蔡宛君 |
| BKC136 | HUANG WEI | 黃煒 |
| BKP273 | CHEN Yu Shiuan | 陳昱瑄 |
| BKP540 | MA Yung-Jie | 馬詠潔 |
| BLA481 | LAU Hing Tat David | 劉興達 |
| BLM891 | PAN Lichia | 潘莉家 |
| BLR308 | YUEN Ka Yan | 袁嘉欣 |
| BMB251 | TSUN Douglas Patrick | |
| BME687 | CHENG Yu Shing | 鄭裕盛 |
| BMY582 | WANG LI I | 王立弈 |
| BNE452 | NING Szu Wei | 甯思維 |
| BNJ561 | LI Xuetong | 李雪桐 |
| BNL500 | ZHANG Jie | 張杰 |
| BNP707 | LEE Chia-Hao | 李家豪 |
| BNV726 | WU Bei-Jeng | 吳佩真 |
| BNV803 | CHIU Sui Ling | 趙瑞玲 |
| BOQ059 | GUO Siyuan | 郭思源 |
| BOS587 | CHAN Kwok Kin | 陳國健 |
| BPQ259 | CHAN Hwai Chey George | |
| BPV357 | SHIH Wen-Ping | 施汶秉 |
| BPY406 | CHEN Chu-Fu | 陳居甫 |
| BQE750 | YE Fen | 葉芬 |
| BQF728 | ZHANG Yawen | 張亞文 |
| BQF740 | WANG QING | 王清 |
| BQM236 | TSOI Wai Ling Wendy | 蔡煒凌 |
| BQO437 | TIN Man Leong | 田旻亮 |