牌照詳情
| 法團名字: | CLSA Limited 中信里昂證券有限公司 |
| 證監會中央編 號: | AAB893 |
| 發牌日期: | 17/08/2004 |
| 受規管活動 | 生效日期 |
|---|
| 證券交易 | 2004年8月17日 |
| 就證券提供意見 | 2004年8月17日 |
| 提供自動化交易服務 | 2013年7月9日 |
地址
| 營業地址 |
|---|
| 5/F One Island East, 18 Westlands Road, Hong Kong |
| 19/F, One Pacific Place, 88 Queensway, Hong Kong |
| 香港金鐘道88號太古廣場第1期18樓 |
| 中國上海市浦东新区世纪大道 1568 号中建大厦18层1806单元1815室 |
| 6/F, 117 Min Sheng E Road, Taipei, Taiwan |
| Level 35, Grosvenor Place, 225 George Street, Sydney, NSW 2000, Australia |
負責人員
| 負責人員名字 | 中央編號 |
|---|
| CHAN Chi Chuen陳志銓 | AGF194 |
| CHAN Wai Hung, Edmund陳偉雄 | AFT585 |
| CHEUK Siu Bun, Alexander卓兆斌 | ABX790 |
| COCHRAN Shaun Donald | APA066 |
| ENG Karen Jane伍倚華 | ALB111 |
| FAN Haishuo范海爍 | BAX762 |
| GALLIGAN Jonathan Philip | AQM705 |
| HU Baifeng胡柏風 | BOO676 |
| KANEVSKY Eugene | ASY848 |
| LAM Steve Kwok Leung林國樑 | AGC469 |
| LEVINE Robert Peter | AGL783 |
| LI Hang李航 | AYV511 |
| LUO Ding羅鼎 | BFS676 |
| MCMURTRAY Nathan Noel | ALW212 |
| PARK Edward | ASD313 |
| WANG Xiao王瀟 | ARI071 |
| WONG Wing Sze黃詠詩 | AQH362 |
| YU Yang于楊 | AUZ703 |
| YUNG Chun Woon, Louis翁進煥 | AON896 |
| ZHANG Youjun張佑君 | AEP924 |
代表
| 代表名字 | 中央編號 |
|---|
| AGARWAL Anurag | BBS873 |
| AMER HAMZAH Farahnaz Ireena Binti | BOJ286 |
| ASVATHITANONTA Kamolwan | BOG394 |
| BAI Guangxin白广鑫 | BQN454 |
| BALANCO Laurence | APG273 |
| BARDEN Jonathan Robert | BPF618 |
| BARWICK Richard John | ART684 |
| BAZZONI Federico | ADP682 |
| BISWAS Swagatam | ATS185 |
| BURNS John Patrick | ATG678 |
| CAI Linfeng蔡林峰 | BQO296 |
| CHAN Che陳哲 | BPE129 |
| CHAN Cheuk Wing, Andy陳焯榮 | ALV385 |
| CHAN Chun Hei陳俊曦 | BMA511 |
| CHAN Ka Chun, Edwin陳家俊 | BGB734 |
| CHAN Yick Kei陳奕祺 | AJN963 |
| CHAN Ying Kwan陳盈君 | BOJ181 |
| CHATURVEDI Deepti | ARP391 |
| CHEN Cong陳聰 | ASZ589 |
| CHEN Haoxin陳浩鑫 | BQR381 |
| CHEN Li陈力 | BQI101 |
| CHEN Mingzhao陳明昭 | BQI845 |
| CHEN Shilei陈石磊 | BQU942 |
| CHEN Weiqi陳瑋齊 | BQL713 |
| CHEN Weiwei陳衛煒 | BKY635 |
| CHEN Yali陳雅俐 | BNE463 |
| CHEN Yifei陳伊菲 | BIU909 |
| CHENG Xinlong成欣龙 | BKC166 |
| CHEUNG Danny Tsz Chung張子聰 | ADB418 |
| CHEUNG Ho Ming張可明 | AOE594 |
| CHEUNG Kai Ming張啟銘 | BGB954 |
| CHIA Su Ying謝舒莹 | BGY189 |
| CHIN Lip Ting陳立婷 | BPW335 |
| CHIU Lon, Ronald趙朗 | AVY720 |
| CHIU Ngai Han焦藝嫻 | BPL258 |
| CHIU Sze Lai趙施麗 | AFT124 |
| CHONG Yeu Liong | BLN750 |
| CHONG Yu, Carmen莊瑜 | ADT651 |
| CHOONG Loke Hung | BOC437 |
| CHOW Cheuk Wang鄒卓宏 | BQU684 |
| CHUNG Yong Ho | AQI680 |
| CITAKU Shpendi Norman | AXW982 |
| CUI Minhui崔敏慧 | BQU944 |
| DALAL Alok Mukul | BKQ449 |
| DE DIOS Maria Martha Araullo | APA364 |
| DEFIBAUGH Jay Loren | BBT996 |
| DEL PAPA Massimiliano | ANA972 |
| DINCER Ty | BOB738 |
| DING Jianxiong丁健雄 | BQL712 |
| DONG Hang董行 | BQE569 |
| DONG Zhiru董芷汝 | BRD963 |
| DU Ke杜克 | BQI464 |
| DUAN Wei段偉 | BQT325 |
| DY Alfred Olmedo | APA371 |
| DY Andre Mikael Lu | BKT170 |
| ESPINO Marc Christopher Jison | BKT749 |
| FAJARDO Bennette Edward John | BKM832 |
| FANG Jike方济科 | BQS950 |
| FENG Chongguang馮重光 | BOD615 |
| FENG Shu冯书 | BOO677 |
| FISCHER Richard Eric Marshall | BMK642 |
| FISHWICK Eric James | AFJ086 |
| FONTANILLA Jose-Paolo Cuyegkeng | BJA058 |
| FOO Wen Yun | BNX010 |
| FROST Michael | AHQ485 |
| FU Yuen Yeh傅元冶 | BOS479 |
| GAN Tanhuan甘坛焕 | BRD477 |
| GAN Tanya Li Phing | AOP016 |
| GAO Song高松 | BJK932 |
| GAO Xinye高昕燁 | BQT140 |
| GARG Amit | AVV363 |
| GOLDIE Benjamin James | AJD455 |
| GONG Hongyu龔洪與 | BQE247 |
| HALLAM Nicholas | BIM618 |
| HAN Siyu韓思雨 | BOP777 |
| HAN Yuxin韩禹歆 | BRD962 |
| HAN Zhen韩朕 | BQS919 |
| HE Hao何浩 | APG277 |
| HE Yuan何源 | BRB787 |
| HO Kam Kai何錦佳 | AUI935 |
| HO Purdy Pin Pin何翩翩 | ASI353 |
| HOPKINS Maxwell Ayers | BPJ853 |
| HOU Ming-Hsiao侯明孝 | AXW841 |
| HU An胡桉 | BQU495 |
| HU Weimin胡为敏 | BQN455 |
| HUA Lining华力宁 | BQK548 |
| HUANG Zihang黃子航 | BEI572 |
| HUANG Cunchen黃存晨 | BHQ218 |
| HUANG Jialin黃嘉林 | BJI242 |
| HUANG Tiandang黃天蕩 | BPB535 |
| HUI Bosco Tien Ruey許天瑞 | AXS635 |
| HUI Ka Lok, Carl許嘉諾 | BFS741 |
| HWANG Kyung Hyun | BNU050 |
| IP Man Ka葉文嘉 | BKV989 |
| JAEGER Christian John | APD422 |
| JAIN Sonal | ARQ497 |
| JAIN Vikash Kumar | AZW299 |
| JANG Jae Hee張在喜 | BQG804 |
| JIA Wei賈暐 | BOT047 |
| JIANG Renzhe江仁喆 | BQG290 |
| JIANG Ya姜娅 | AZA855 |
| JIANG Yi蔣藝 | BDH056 |
| JU Pengfei琚鹏飞 | BRA104 |
| KAMAI Takeo | BBA272 |
| KAMATH Sujay Anthony Derrick | ATS181 |
| KATO Jun | BIG275 |
| KAUFMANN Kai | AQQ336 |
| KE Zicong柯子聰 | BOK119 |
| KHONGRUNGPHAKORN Supattra | BOJ694 |
| KIANG Jeffrey Ming Jie江明傑 | BFV206 |
| KIM Jongmin | AUZ227 |
| KIM Warren Ho-Joong | AVY508 |
| KIYOZUKA Megumi | BLK150 |
| KONG Nien Sian | BNK733 |
| KUWAKI Shota | BLK037 |
| KWOK Sin Hung郭倩紅 | AFS186 |
| LA FABER Sean Michael | BOJ285 |
| LAI Norman黎樂仁 | AQC205 |
| LAI Siu Fung黎少峯 | BQP574 |
| LAM Che Man, Louisa林梓敏 | BQQ755 |
| LAM Pak Fung林柏鋒 | BFT006 |
| LAO Ruby Margaret Tan | AVA611 |
| LAU Chung Yan, Joanne劉頌恩 | BPT331 |
| LAU Ka Yeung劉嘉陽 | AUG571 |
| LAU Tin Pui劉天珮 | BEZ268 |
| LEACH Francis Hugh Magnus | AGK055 |
| LEE Ching Man李正文 | BMY829 |
| LEE Kam Chiu李錦超 | AQE317 |
| LEE Shon Kee, Kenneth李崇基 | ARI072 |
| LEE Wai Kit Patrick李煒傑 | AWK707 |
| LEE Yuna | AVV760 |
| LEOW Siok Ling廖淑玲 | ACR427 |
| LESMINA Sarina | AOU971 |
| LEUNG Heung Yik梁向奕 | AIH476 |
| LEUNG Hiu Yi梁曉怡 | ANQ835 |
| LEUNG Yvonne Tsang Yin梁政欣 | BJG375 |
| LI Chen李晨 | BOC669 |
| LI Chunbo李春波 | AOS336 |
| LI Haoran李浩然 | BQV619 |
| LI Heung李响 | AYO826 |
| LI Jinyuan李金源 | BRA107 |
| LI Jinzhe李金哲 | BRA594 |
| LI Liangdianer李亮點儿 | BRD923 |
| LI Liangzi李亮子 | BQW500 |
| LI Longfei李龍飛 | BPX648 |
| LI Mengyang李夢暘 | BMX581 |
| LI On Ki李安琪 | ANA057 |
| LI Ran李然 | BJQ223 |
| LI Tao李陶 | BQF980 |
| LI Xiang李想 | BDP861 |
| LI Zhongjie李中杰 | BPY638 |
| LI Zhongjin李中晋 | BRD669 |
| LI Zhongnan李中楠 | BQF456 |
| LI Zhongying李仲嬴 | BQP158 |
| LI Zijun李子俊 | BQX069 |
| LIM Colin | BPU833 |
| LIM Hsu An | AYA337 |
| LIM Kit Yng | APA092 |
| LIM Sue Lin | BHT353 |
| LIN David Ping林平 | AOT744 |
| LIN Tawei, Joseph林達崴 | BFW676 |
| LIN Xiaodong林晓東 | AQU519 |
| LIN Yuchen林毓琛 | BQJ742 |
| LIU Boying劉博英 | BNC925 |
| LIU Da劉達 | BGI024 |
| LIU Dun刘顿 | BRA103 |
| LIU Fang劉方 | BDY735 |
| LIU Hiu Lau廖曉柳 | AGP529 |
| LIU Jiandong劉建東 | BKN438 |
| LIU Tong劉彤 | BCL153 |
| LIU Xin劉欣 | BPY628 |
| LIU Yewei劉業偉 | AZM917 |
| LIU Yicheng劉亦誠 | BPX400 |
| LIU Yikai劉奕愷 | BOM904 |
| LIU Ying刘莹 | BRA248 |
| LIU Zhe刘哲 | BQV916 |
| LIU Zijun劉子郡 | BRA319 |
| LO Chi Yin, Patrick盧至言 | BLS910 |
| LONGO Anthony | BOE827 |
| LOW Horng Han | BDO747 |
| LOW Kay Kham劉家淦 | BQV337 |
| LU Hao陆昊 | BRB543 |
| LU Xiaomeng卢小萌 | BQV486 |
| MA Bofei马博飞 | BPX341 |
| MA Ke马可 | BRA249 |
| MA Rong馬榮 | BPD929 |
| MA Sirui馬思睿 | BMC573 |
| MA Yue Lung, Alan馬裕龍 | BGM556 |
| MADDOCK Warwick Curtis Lee | BOF087 |
| MARDJUKI Jonathan Steven | BOF045 |
| MATTHEW Oliver James Gray | ARO877 |
| MCCULLOCH Cale O'Yeah | BAC402 |
| MEHTA Viraf Dinshaw | AVU840 |
| MIAO Cheng Ying繆政穎 | BQQ256 |
| MIN Peter Jae Sun | BLJ520 |
| MUSTON Nigel Peter | AQU888 |
| NA Mufu那木夫 | AXR364 |
| NG Chung Kwong吳松光 | AOD605 |
| NG Kai Him吳啟謙 | AVY121 |
| NODA Hideo | BJT840 |
| NOGRALES Marseille Navarro | BNU774 |
| NURYANTI Yuyun Aisyah | BMK647 |
| OEN Daniel Thian Liong | ATS911 |
| OLDFIELD Alexander Toby | ARQ375 |
| ONG So Po, Polly王素寶 | ABH437 |
| OUYANG Haodi欧阳颢頔 | BQW599 |
| OVERY Matthew James | BQT316 |
| PANPIEMRAS Soraphob | AOX440 |
| PAREKH Bharat Nalinkant | BAR454 |
| PARK Carol Lee | AGL373 |
| PARK Gregory | AEI659 |
| PARK Sang Eun | AQI679 |
| PARK Soo Bin | BPM359 |
| PAULSEN Morten | AXW972 |
| PHUTELA Shantnu | AXX520 |
| PU Ruihang浦瑞航 | BQE570 |
| QU Jianfeng屈剑峰 | BRA595 |
| RAMOS Joyce Anne Jose | BKY336 |
| REDBOURN James Robert | AVV777 |
| REN Anthony W | BIH515 |
| RICHTER Christopher John | AQI406 |
| RO Soong Chu | AQM712 |
| RONG Xiaolong荣晓龍 | BQF454 |
| SHAH Chirag Chandrakant | AYT913 |
| SHANG Di尚迪 | BQT573 |
| SHAO Ziqin邵子欽 | BDY939 |
| SHARMA Rohit | BAW704 |
| SHEK Po Wan, Winnie石寶雲 | ADY724 |
| SHEN Hui沈卉 | BDE640 |
| SHEN Mujun沈睦钧 | BRE192 |
| SHEN Yiding沈一丁 | BQC196 |
| SHEN Yuxing沈宇星 | BRA106 |
| SHEN Zhe沈哲 | BQC066 |
| SHI Fengyuan史丰源 | BQO779 |
| SHI Guoping石國平 | BQC070 |
| SHIN Dong-Wook | BBX568 |
| SHIN Joo Kyung申珠炅 | BQC062 |
| SHIN Yoon Sik | AQO387 |
| SIAMWALLA Kannika | BRA151 |
| SIBAL Maria Elisa Andrea Pamandanan | BKT185 |
| SIN Ka Yiu冼嘉耀 | BDP260 |
| SMITH Nicholas David Paul | BAD766 |
| SO King Pui蘇敬培 | AWH521 |
| SOMANI Anirudh | ATS210 |
| SONG Shuo宋硕 | BPB744 |
| SUN Jie孫婕 | BBY954 |
| SUN Qirong孫琦蓉 | BNR195 |
| SUN Xue孫雪 | BQL540 |
| SWARBRICK Andrew Jeremy | AFF234 |
| TAM Ho Yin, Jude譚顥賢 | ALA228 |
| TAN Gee Meng | AHK745 |
| TAN Jessica Margarida陳曉彤 | AQG469 |
| TAN Lucas Adnan Soen Hwat | ABQ528 |
| TANG Weiguo唐維國 | AUW905 |
| TANG Zhongzhi唐中植 | BFH774 |
| TAVEERATANASILP Nuntana | AQM288 |
| TECHAPOSAI Suchart | BCO967 |
| THEODORUS Billy | BNW206 |
| TIAN Liang田良 | BEX782 |
| TIWARI Sudhir Kumar | BPU393 |
| TJIA Novita | BOG817 |
| TOH Kah Yong, Jeremy卓家揚 | BDW971 |
| TOKUMURA Kazue | BER103 |
| TOMISAWA Shotaro | BLV451 |
| TONG Chengdun童成墩 | BDY942 |
| TOTLA Vaibhav Vishnudas | ALZ933 |
| TSANG Tsz Mei曾紫微 | AXO517 |
| TSE Yan Kei謝欣冀 | AVL288 |
| TSOI Geoffrey Wai Yip蔡偉業 | BBJ502 |
| WANG Chaonan王超男 | BRD959 |
| WANG Gan王干 | BHL578 |
| WANG Guoliang王国梁 | BQV746 |
| WANG Jichao王紀朝 | BQR551 |
| WANG Jingyuan王景遠 | BPM730 |
| WANG Jue王珏 | BOF346 |
| WANG Mengting王梦婷 | AWJ513 |
| WANG Tianfang王天放 | BNN586 |
| WANG Wei王為 | BMU938 |
| WANG Xinyi王心怡 | BMI322 |
| WANG Xuan王瑄 | BIN334 |
| WANG Yinan王軼楠 | ANB406 |
| WANG Yushen王雨申 | BMH497 |
| WANG Zhidong王治栋 | BQW999 |
| WANG Zijiao王子姣 | BHG785 |
| WANG Zinian汪子年 | BNJ569 |
| WAT Pui Lam屈沛霖 | BPK265 |
| WEI Ningning韋宁宁 | BOR811 |
| WEI Ziting魏子婷 | BQF743 |
| WEN Zhongjie文仲杰 | AWF840 |
| WIBOWO Matthew | BOF909 |
| WINOTO Yusuf Ade | BOC205 |
| WON Sang Hoon元相勳 | AOB339 |
| WONG Chi Ming黃智明 | ANN089 |
| WONG King Wai, Gilbert黃景威 | AFW098 |
| WONG Lok Huai, Francis黃樂懷 | BQE246 |
| WONG Man Kwong黃文廣 | BQV399 |
| WONG Peter Pui To黃沛濤 | AXT647 |
| WONG Yew Kiang | AOY690 |
| WONK-URAI Weerapat | BOH307 |
| WU Caojian吴操健 | BQF790 |
| WU Guoyuan吳國源 | BQV487 |
| WU Jingyu吳敬瑜 | BRA102 |
| WU Sitao吳思燾 | AYZ889 |
| XI Mengmeng奚萌萌 | BMP021 |
| XIANG Difei相迪菲 | BHA450 |
| XIAO Feifei肖斐斐 | AZN900 |
| XIAO Kaidi肖愷弟 | BIH047 |
| XIE Mengqi谢蒙琪 | BRB786 |
| XIONG Dong熊冬 | BQB342 |
| XU Chenming许晨鸣 | BQB328 |
| XU Fanfei許凡非 | BPB455 |
| XU Tao徐涛 | BRA672 |
| XU Xiaofang徐曉芳 | BFN763 |
| XU Yefeng徐烨烽 | BRA671 |
| XU Yingbo許英博 | AVV560 |
| XU Zhiwei徐志偉 | BPM799 |
| XUE Jiao薛姣 | BJP974 |
| XUE Yuan薛缘 | BFY105 |
| YANG Buyun楊佈云 | BDQ418 |
| YANG Chaozhong楊朝中 | BOB378 |
| YANG Fan楊帆 | BEF935 |
| YANG Guanya楊冠雅 | BQU943 |
| YANG Juncheng楊俊程 | BRD670 |
| YANG Junlin楊均霖 | BMX574 |
| YANG Lingxiu楊灵修 | AVH936 |
| YANG Ying杨莹 | BQZ907 |
| YANG Zhenyi楊臻怡 | BPJ471 |
| YAO Xinjian姚欣健 | BIE698 |
| YIN Xinchi尹欣馳 | BOT875 |
| YIP Cheng Kwok葉振國 | AQB007 |
| YIP Damon Manchun | APK748 |
| YOU Yang尤揚 | BPS100 |
| YU Xinli于新利 | BFL253 |
| YUAN Ransi袁然思 | BEM652 |
| YUAN Ye袁也 | BGG861 |
| YUEN Chung Tai原中太 | BRE342 |
| YUEN Sze Wing, Esther袁詩穎 | AMS885 |
| YUNG Chi Yeung容志揚 | BPB536 |
| YUNG Muk Tsz翁木子 | AUB778 |
| YUSUI (BOURLET) Edward Kai | AVV364 |
| ZENG Zhuo曾卓 | BMM402 |
| ZHANG Jie章婕 | BEL733 |
| ZHANG Jinglei張京雷 | BQV633 |
| ZHANG Qinrui張欽銳 | AXQ582 |
| ZHANG Quanguo张全国 | BQV624 |
| ZHANG Ruohai张若海 | BQW521 |
| ZHANG Ting張婷 | BHR323 |
| ZHANG Xiaoyu張晓宇 | BQV107 |
| ZHANG Yuanning張遠寧 | BFY190 |
| ZHANG Ziyao張子嶢 | BPS102 |
| ZHANG Zongbao张宗保 | BQN453 |
| ZHAO Dongtian赵洞天 | BRE340 |
| ZHAO Jiaqi趙佳琦 | BOE936 |
| ZHAO Long趙龍 | AXY574 |
| ZHAO Tianwei赵天委 | BQC687 |
| ZHAO Zhiwei趙志威 | BGE025 |
| ZHENG Yiming鄭一鳴 | BQV917 |
| ZHONG Wei鍾威 | BCD291 |
| ZHOU Jiacheng周嘉成 | BRD961 |
| ZHOU Jiang周江 | BRA596 |
| ZHOU Ning周宁 | BQW909 |
| ZHOU Shufan周澍凡 | BJX658 |
| ZHOU Verona | BRE339 |
| ZHOU Yue周玥 | BQW497 |
| ZHOU Zuyu周祖禹 | BBR071 |
| ZHU Feifei朱霏霏 | BFC570 |
| ZHU Hui朱汇 | BRA597 |
| ZHU Jianfang諸建芳 | ASZ598 |
| ZHUANG Yiyang庄亦洋 | BHY685 |
| ZIEGLER Richard Paul | AMS785 |
| ZU Guopeng祖國鵬 | AYV659 |
投訴主任
| 電話號碼: 2600 7731 |
| 傳真號碼: 2600 8402 |
| 電郵地址: [email protected] |
| 通訊地址: 18/F, One Pacific Place, 88 Queensway, Hong Kong |
條件
公開紀律行動
| 採取行動日期 | 所採取的行動 | 證監會新聞稿 |
|---|
| Mar 13, 2018 12:00:00 AM | Public Reprimand | English中文 |
| Mar 13, 2018 12:00:00 AM | Fine | English中文 |
| Dec 30, 2019 12:00:00 AM | Other - See Press Release | English中文 |
前稱
| 有效期至 | 名稱 |
|---|
| 2013年12月2日 | CLSA Limited里昂證券有限公司 |
| 2000年4月25日 | Credit Lyonnais Securities (Asia) Limited |
| 1988年11月14日 | CL-Alexanders Laing & Cruickshank Securities (HK) Ltd |
牌照記錄
| 受規管活動 | 有效時期 |
|---|
| 證券交易 | 2003年4月1日~ |
| 就證券提供意見 | 2003年4月1日~ |
| 就機構融資提供意見 | 2003年4月1日~2004年8月17日 |
| 提供自動化交易服務 | 2013年7月9日~ |
| 提供資產管理 | 2003年4月1日~2004年8月17日 |
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