Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LEUNG Kwok Ming

梁國明
CE AIZ701Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEUNG Kwok Ming (CE number AIZ701) is an individual licensed by the Hong Kong SFC. First licensed on 2003-06-02. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerHarris Fraser (International) Limited
晉裕環球資產管理有限公司
Responsible OfficerMason Investment Management Limited
茂宸投資管理有限公司
Responsible OfficerMason Securities Limited
茂宸證券有限公司

Licence Record (19)

2026-03-02 – present Current
Harris Fraser (International) Limited RO
RA 1 RA 4 RA 9
2026-03-02 – present Current
Mason Investment Management Limited RO
RA 1 RA 4 RA 9
2026-03-02 – present Current
Mason Securities Limited RO
RA 1 RA 4 RA 9
2023-07-19 – 2025-05-14
JMC Capital HK Limited RO
RA 1 RA 4 RA 9
2023-07-19 – 2025-05-14
JMC Capital International Limited RO
RA 1 RA 2 RA 4 RA 5
2020-01-15 – 2023-06-04
Shenwan Hongyuan Securities (H.K.) Limited RO
RA 1
2020-01-15 – 2023-06-04
Shenwan Hongyuan Futures (H.K.) Limited RO
RA 2
2020-01-15 – 2023-06-04
Shenwan Hongyuan Research (H.K.) Limited RO
RA 4 RA 5
2019-11-14 – 2020-01-15
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1
2019-11-14 – 2020-01-15
Shenwan Hongyuan Futures (H.K.) Limited Rep
RA 2
2019-11-14 – 2020-01-15
Shenwan Hongyuan Research (H.K.) Limited Rep
RA 4
2017-05-23 – 2018-06-25
CITIC Securities International Global Markets Limited RO
RA 1 RA 2
2014-10-17 – 2018-06-29
CITIC Securities Asset Management (HK) Limited RO
RA 1
2011-06-27 – 2019-06-21
CITIC Securities Futures (HK) Limited RO
RA 2
2010-03-22 – 2011-06-27
CITIC Securities Futures (HK) Limited Rep
RA 2
2009-02-05 – 2019-06-21
CITIC Securities Brokerage (HK) Limited RO
RA 1 RA 4
2008-12-17 – 2009-02-05
CITIC Securities Brokerage (HK) Limited Rep
RA 1
2007-02-27 – 2008-07-18
Northern Trust Company of Hong Kong Limited, The RO
RA 1
2003-06-02 – 2007-02-27
Northern Trust Company of Hong Kong Limited, The Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AIZ701