HSBC Broking Securities (Asia) Limited is a Hong Kong SFC licensed corporation (CE number ABX727). First licensed on 2004-09-10. Its SFC licence is currently active. It is licensed for 2 regulated activities: Type 1 (Securities dealing), Type 4 (Advising on securities).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2004-09-10 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2015-01-19 |
| CE No. | Name | Chinese |
|---|---|---|
| ACV996 | LAU Siu Man | 劉紹文 |
| ADQ206 | KWOK Wing Ho Felix | 郭永晧 |
| AFJ226 | CHOW Keng Wah, Kinson | 周健華 |
| AGW234 | WO Ki | 鄔奇 |
| ALH734 | CHANG Shu Tin, Stephen | 張樹田 |
| BAX162 | LEE Chi Kin | 李志建 |
| BDA062 | KEUNG Leon Sik Lim | 姜錫廉 |
| CE No. | Name | Chinese |
|---|---|---|
| ABW264 | MA Ka Fung | 馬家鳳 |
| ACV996 | LAU Siu Man | 劉紹文 |
| AEE107 | MAK Kwok Sing | 麥國星 |
| AFM737 | LAI Shun Wai, Patrick | 賴汛維 |
| AGK639 | WONG Chor Yee | 王楚儀 |
| AHF840 | NG Kwok Hung | 吳國雄 |
| AJB051 | WONG Ka Ho | 黃嘉豪 |
| ALQ771 | LEUNG Man Wai, Matthew | 梁文威 |
| AMB384 | PANG Yuen Ying | 彭婉盈 |
| ANB176 | LEUNG Wai Yin, Elaine | 梁偉妍 |
| ANU228 | TANG Hon Fai | 鄧漢輝 |
| AOC990 | KWOK Chi Chung | 郭志聰 |
| AON637 | LIN Chi Kwan | 連子鈞 |
| AOY769 | LI Kwok Yin | 李國賢 |
| APM139 | CHAN Tsz Ping | 陳梓萍 |
| APZ540 | SHUM Yat Kei | 沈逸基 |
| ATM797 | KWAN Hin Sing | 關顯聲 |
| AVA352 | NG Wai Yin, Ray | 吳偉然 |
| AVS593 | LAI Yau Nin | 賴猷年 |
| AVX424 | LI Wai Han | 李惠嫻 |
| AWE460 | NGAI Kwok Pan | 魏國彬 |
| AWL694 | MAK Yiu Hong | 麥耀康 |
| AYA582 | CHEUNG Ka Ki | 張家琪 |
| AYF360 | TSANG Hing Sum | 曾慶琛 |
| AYI452 | LAU Kwan Yiu | 劉鈞耀 |
| AYM805 | MAK Ka Wing, Kelvin | 麥家榮 |
| AZJ983 | LO Chun Kwan | 羅俊坤 |
| BCO585 | LO Yick Chun, Kenny | 羅翊晉 |
| BCO591 | CHEUNG Kwong Wa | 張光華 |
| BCO593 | LAU Miu Ying | 劉妙凝 |
| BCO701 | IP Wai Hong | 葉偉康 |
| BCQ151 | SO Tsz Kit | 蘇子杰 |
| BDI706 | LI Chi Wing | 李志榮 |
| BIZ578 | LEE Ka Hing | 李嘉興 |
| BQV549 | LAU Ho Cheong | 劉浩昌 |
| BSS065 | LAM Lap Fung | 林立峰 |
| BST784 | WU Nga Chi | 胡雅芝 |
| BTE397 | LAU Pui Ching | 劉珮青 |
| BWC762 | CHEUNG Siu Ling | 張少玲 |