香港持牌證券公司：貝萊德資產管理北亞有限公司

• 名字: 貝萊德資產管理北亞有限公司 BlackRock Asset Management North Asia Limited
• 證監會中央編號: AFF275
• 發牌日期: 16/12/2003

受規管活動	生效日期	備註
證券交易 Dealing in Securities	Jan 01 1970
期貨合約交易 Dealing in Futures Contracts	Jan 01 1970
就證券提供意見 Advising on Securities	Jan 01 1970
就機構融資提供意見 Advising on Corporate Finance	Jan 01 1970
提供資產管理 Asset Management	Jan 01 1970

• 中文地址：香港中環花園道三號冠君大廈十六樓 *
• 英文地址：16/F Champion Tower, 3 Garden Road, Central, Hong Kong *
• 带*: 主要營業地址

[email protected]

www.blackrock.com

生效日期	牌照條件
2004年11月01日	就第6類受規管活動而言，持牌人只可以根據《香港聯合交易所有限公司證券上市規則》第20章的規定，擔任作為它所管理的跟蹤指數交易所買賣基金的上市代理人。持牌人在擔任作為該代理人時，不得就任何涉及《企業融資顧問操守準則》所述明的首次公開招股的上市計劃提供意見。 For Type 6 regulated activity, the licensee shall only act as an agent for the listing of index tracking exchange traded funds under its management pursuant to Chapter 20 of the Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited. In acting as such agent, the licensee shall not advise on any listing that involves initial public offering contemplated under the Corporate Finance Adviser Code of Conduct.
2004年11月01日	在它所管理的跟蹤指數交易所買賣基金上市之前，持牌人如就該等基金履行任何分銷職能，須嚴格遵守就i股新華富時A50中國指數基金而採納的分銷程序。 In performing any distribution functions of index tracking exchange traded funds under its management prior to the listing of such funds, the licensee shall closely follow the distribution process adopted for iShares FTSE/Xinhua A50 China Tracker.nn
2006年11月24日	就第6類受規管活動而言，由2007年1月1日開始，持牌人不得就要求將任何證券在認可證券市場上市的申請以保薦人身分行事。 For Type 6 regulated activity, with effect from 1 January 2007, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities.
2012年10月26日	就第2類受規管活動而言，持牌人不得經營下列以外的業務－n(a)從其他人士接收為達成期貨合約交易而提出的要約，並以該等人士的名義將該等要約傳達予其他期貨經紀﹔及n(b) 向其他期貨經紀介紹其他人士，使該等人士可－n (i) 達成期貨合約交易；或n (ii) 為進行期貨合約交易而提出要約。n For Type 2 regulated activity, the licensee shall not conduct business other than -n(a) communicating offers to effect dealings in futures contracts to other futures brokers, in the names of the persons from whom those offers are received; andn(b) introducing persons to other futures brokers, in order that such persons may -n (i) effect dealings in futures contracts; or n (ii) make offers to deal in futures contracts.n
2012年10月26日	就第1類受規管活動而言，持牌人不得經營下列以外的股票經紀活動 -n(a) 從其他人士接收為達成證券交易而提出的要約，並以該等人士的名義將該等要約傳達予其他股票經紀﹔及n(b) 向其他股票經紀介紹其他人士，使該等人士可－n (i) 達成證券交易；或n (ii) 為進行證券交易而提出要約。n For Type 1 regulated activity, the licensee shall not conduct securities broking activities other than -n(a) communicating offers to effect dealings in securities to other securities brokers, in the names of the persons from whom those offers are received; andn(b) introducing persons to other securities brokers, in order that such persons may: n (i) effect dealings in securities; or n (ii) make offers to deal in securities.n
2012年10月26日	就第6類受規管活動而言，持牌人不得就證監會發出的《公司收購、合併及股份購回守則》範圍內的事宜/交易向客戶提供意見。 For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.

負責人員名字	中央編號	RA1	RA2	RA3	RA4	RA5	RA6	RA7	RA8	RA9	RA10
AOYAMA Yoshihiko	AZT327	X
BOA Belinda Mary	BES358	X			X					X
陳蕙蘭 CHAN Susan Wai-lan	ADH562	X			X		X
陳瑋思 CHAN Wei See	ARU693	X	X
戴凱豪 DEI Derek	BJI872	X			X					X
DENNIS Michael Richard	BBG661	X			X
HASSAN Tahmimm	BII044	X			X					X
HORN Jason Christopher John	BMQ392	X			X
LOEHNERT Peter Herbert	BRT305	X			X					X
LORD Rachel	ADQ542	X	X		X		X			X
MACDONALD Stuart William	BFD452	X			X					X
MOONEY Damien Martin	BCF620	X			X
SAUNDERS John Russell	AFG796	X			X					X
WILLIAMS Simon Newton	BAZ733	X	X
YAN Celia Chenshan	BEF685									X
楊彥 YANG Yan	BAT860	X			X					X

代表名字	中央編號	RA1	RA2	RA3	RA4	RA5	RA6	RA7	RA8	RA9	RA10
- Rachit Raj	BFF384	X
- Winnie	AXR100	X			X
AGRAWAL Prasoon	AYE810	X			X					X
AGRAWAL Vishal Surajratan	BNS689	X			X					X
AMITABH Unnayan	BGB390	X
ANDREWS Stephen John	ATC362	X			X					X
ASHWORTH Henry Thomas	BMX509	X			X					X
BATAILLARD Olivier Remy Camille	BEO553	X			X					X
貝皞晨 BEI Haochen	AQH041	X			X					X
BERDER Antoine Eric Francois Marie	BNN308	X			X					X
BEVEVINO Zach Barton	BNC709	X			X					X
BHATTEE Hashim	BLL816	X			X					X
邴彤彤 BING Tongtong	BOX141	X			X
BIZID Abdelhamid Ameur	APL605	X			X
BRAKENRIDGE Natassia Jaide	BCH543	X			X					X
BROADBENT Neil Eric	BMI332	X			X
BURNS Benjamin Gordon	BEB587	X
BYUN Jun Sik	BLI470	X			X					X
CADERAS Daniel	BGB571	X			X					X
曹蕾 CAO Lei	BGB371	X			X					X
CHABANE Ilyas	BAP105	X			X					X
陳健勇 CHAN Kin Yung, Alexander	AXD986	X			X
陳德蓉 CHAN Kristy	BNK027	X			X					X
陳倩婷 CHAN Sin Ting, Monica	BGD460	X			X					X
陳芷筠 CHAN Tsz Kwan	APF801	X			X
陳源達 CHAN Yuen Tat	BHU993	X	X
張明波 CHANG Alexander Paul	ALZ627	X			X					X
CHAUDHURI Kaustav	BOE528	X	X
陳潤旻 CHEN Runmin	BPI887	X			X
CHEN Yaoqiang	BIR928	X			X
陳莹 CHEN Ying	BQO803	X			X
鄭嘉儀 CHENG Ka Yee	BDX497	X			X
鄭家怡 CHENG Ka Yi Kate	BIW227	X			X					X
CHENG Sixuan	BMW177	X			X
張繼浩 CHEUNG Kai Ho	BLY773	X			X
張小雯 CHEUNG Siu Man	AED162	X			X					X
張松安 CHEUNG Tsung On Steven	BNN717	X			X
CHO Harry Sang Hyun	AYG010	X	X
CHO KI WOONG	BRO005	X			X					X
蔡詠然 CHOI Wing Yin	ATM420	X			X					X
蔡棉漢 CHUA David Bean Han	BEO179	X			X					X
徐力高 CHUI Lick Ko, Nicholas	AXB053	X			X					X
CHUNG Eunie	BJI252	X			X					X
COLVIN Matthew Hunter Richter	AXK259	X			X					X
DAVIDSON Colin John	ADR666	X			X
DAY Joseph William Philip	BLG354	X			X					X
DENNIS Michael Richard	BBG661									X
董梅 DONG Mei	AUX150	X			X					X
DOWNING Christopher Thomas	BJC238	X			X					X
王清灵 ENGEL Josephine Elise Silvia	BOL195	X			X					X
ESCHER DWIVEDI Yolande Monika	BNL350	X			X
ESPESKOG Geir Helge	BEV306	X			X
范君綾 FAN Chin Lin	BLL332	X			X					X
范家豪 FAN Ka Ho	BAX949	X			X
范笑然 FAN Xiaoran	BRS406	X			X
FINN Stuart Anthony	BNV001	X			X					X
方嘉甄 FONG Ka Yan	AWR868	X			X					X
方潔瑜 FONG Kit Yu	BHX798	X			X					X
GALVIN Myles Emmet	BQW786	X			X					X
顏心 GAN Seem	BOS604	X			X					X
高慕紫 GAO Muzi	AXC397	X			X
GAUDRE Sebastien Patrice	AVR367	X			X					X
和璧淘 HE Bitao	BOF744	X
HINTERHAEUSER Marina	ATM619	X			X					X
何善思 HO Seen Sze, Cecilia	BLU752	X			X
謝宛芝 HSIEH Tiffany	ATT782	X			X
忻思慧 HSIN Sze Wai	AJJ600	X			X
胡星荷 HU Xinghe	BRR401	X	X
黃昕媛 HUANG Xinyuan	BRO003	X			X					X
黄瑜琳 HUANG Yulin	BRQ241	X			X					X
HUH Samuel	BOD124	X			X					X
JEON Jeffrey Jinwoong	BEM314	X			X
賈凡 JIA Fan	BFP341	X			X					X
江天 JIANG Tian	BKI423	X			X
JOLLY Rimmo	ATR852	X			X
游仲霞 JU Chung Ha Stella	BDC504	X			X					X
范鴻恩 JUAN Hillary Ching	BNM921	X			X
姜润晟 KANG Yoonsung	BMP251	X			X					X
高正輝 KAO Cheng-hui	ALB059	X			X					X
KARHANI Omar	BPI642	X			X					X
KHOURY Natalie Alexandra	BIB669	X	X
KIM Jee Hyeon	BHA092	X			X					X
KIM Jeong Yeon	BGK390	X			X					X
高德珊 KO Tak Shan Clarissa	BSH992	X			X
KOH Wan Chin	BIC280	X			X
關兆康 KWAN Siu Hong	BBM832	X			X
郭燕婷 KWOK Yin Ting, Rowena	AOA972	X			X
賴亦敏 LAI Yik Man	BLF867	X			X					X
林翠芬 LAM Chui Fan	BJE216	X			X
藍健 LAM KIN	BRR912	X			X					X
劉覺匡 LAU Kok Hong	BMN426	X			X					X
劉姵妏 LAU Pei Man Hidy	AVZ457	X
劉安饒 LAU Zoe Lavinia	BHH851	X			X
李玉麗 LEE Fanny Yuk Lai	AFX602	X			X
李炫鎬 LEE Hyun Ho	BRS592	X			X
李在焕 LEE Jaewhan	BMW174	X			X					X
李美儀 LEE May-Lynn	BCZ923	X			X					X
李肇峰 LEE Siu Fung Brian	BBQ889	X			X
李偉倫 LEE Wai Lun	APA626	X			X
李爾行 LEE Yee Hang Bosco	BNS662	X			X
李彥橋 LEE Yin Kiu	BOU278	X			X					X
李茵茵 LEE Yun Yun Vivien	AZW068	X			X					X
梁葆瑜 LEUNG Boe Yu Bonnie	AZS024	X			X					X
梁家瑩 LEUNG Karen Ka Ying	AUX242	X			X
梁建業 LEUNG Kin Yip	AWH336	X			X					X
梁慧嫻 LEUNG WAI HAN	BQB949	X			X
梁詠琦 LEUNG Wing Kei, Kristi	AQW093	X			X					X
李家俊 LI Jiajun	BPS587	X			X
李敏琪 LI Priscilla Mankei	BFE570	X			X
李思敏 LI Simin	AVL235	X	X
李心怡 LI Xinyi	BHO437	X			X
LILLIBRIDGE Robert Maarten	BLY721	X			X					X
LIM Min Lynette	BPA405	X			X
林文耀 LIM Wen Yao, Lester	BEB082	X			X					X
廖沛喬 LIU Gladys	BLA853	X			X
刘昊 LIU Hao	BNH973	X			X
劉楷文 LIU Kaiwen	BQB160	X			X
劉雅俊 LIU Yajun	AMF512	X			X					X
刘芸琪 LIU Yunqi	BEA463	X			X					X
駱嘉楹 LOK Ka Ying	BOU167	X			X
刘冠琳 LOW Kuan Ling Crystal	BSE555	X			X
呂俊羲 LUI Chun Hei, Barton	BHH505	X			X
羅家仁 LUO Jiaren	BON493	X			X					X
MAGINNIS Christopher John	BCV658	X			X					X
麥靖彤 MAI Jingtong	BRQ145	X			X
MALEY Daniel Frank	BOJ067	X			X
MARGITAN Steven John	BMQ590	X			X					X
MARTISEK Peter	AXR832	X			X					X
MARZOUQ H Ahamed	BOM546	X			X					X
MELLORS James Edward	BAE534	X			X					X
MEPANI Pravin	ALW554	X	X
MITCHELL Georgina Lucy	BLN455	X			X
MON Esmond	BHS915	X			X					X
NEUKIRCH Bruno Emmanuel Alexandre	AVY572	X			X
吳駿邦 NG Felix Junbong	BSD810	X			X					X
伍襄堯 NG Sheung Yiu	BDR313	X			X					X
吳詠珊 NG Wing Sang	BCF610	X			X
吳宇熙 NG Yu Hei	BEC094	X			X
NIELSEN Andrew Stephen	BNR019	X			X					X
ORION JEREMY	BRU808	X			X					X
白欣平 PAI Anna Hsin Ping	BLA849	X			X
彭珮華 PANG Pui Wah Janice	BGY813	X			X
彭梓維 PANG Tsz Wai	BOS807	X			X					X
朴明濟 PARK Myung Je	AHG574	X			X
PAUW James Michael	BMV845	X			X					X
潘詠年 PUN Wing Nin, Winnie	AAK003	X			X					X
REOCH Jonathan Ian	BAD649	X			X					X
RILEY Adam Martin	BBB159	X			X					X
RONNEBERGER Robert	BNB263	X			X					X
RYAN Nicholas Charles	BGI288	X			X					X
沈浩崘 SHAM Ho Lun, Hans	AUX151	X			X
尚前 SHANG Qian	BGC151	X			X					X
SHANMUGASUNDARAM Vignesh	BRI350	X			X
SHERIDAN Tiana Maria	BNA730	X			X
SHI Mingda	BDK856	X			X					X
SHIN Yeeun	BOU812	X			X					X
成京華 SHING King Wa	BOU782	X			X
束可兰 SHU Kelan	BRK461	X			X
SIERADZKI Alexandre Roger	BMH510	X			X					X
蘇漢邦 SO Vincent Hon Pong	ADB610	X			X					X
SONG Frank	AXK328	X			X					X
宋崢穎 SONG Zhengying	BDQ750	X			X					X
SUBRAMONIAM Sunita	BDZ962	X			X
孫伊樂 SUN Yee Lok	BFX170	X			X
SUSKI Dominik John	BHO573	X			X					X
TAKEMURA Chizuru	BOT854	X			X
鄧偉志 TANG Wai Chi Ricky	AUS271	X			X					X
湯曉東 TANG Xiaodong	BMY838	X			X					X
TAW Thomas James	AQJ868	X			X
鄭惠憶 TAY Hui Yi	BQH099	X			X					X
鄭灵善 TAY Lingshan, Esther	BGB266	X			X					X
鄧愷怡 TENG Hoi Yee Carol	AXO836	X			X					X
田禹 TIAN Yu	BRT593	X			X					X
張慧雅 TJON Hui Ya Janice	BIY425	X			X					X
謝貫美 TSE Kun Mei	BRN999	X			X
徐世安 TSUI Sai On	BQG426	X			X
VAN DER WALL Vanessa Therese	BDQ067	X			X
VERSACE Haryati Megumi	BNU704	X			X					X
WALTERS Evan Ambrose	BFU969	X	X
WALTON Matthew	AXL711	X			X					X
溫尚志 WAN Bruce	BOG327	X			X					X
王惠玲 WANG Huiling	BIC463	X			X					X
王夢悅 WANG Mengyue	BRZ139	X			X					X
王軼維 WANG Yiwei	BLB121	X			X					X
王聿佳 WANG Yujia	BHW766	X			X
王玉亮 WANG Yuliang	BKT468	X			X					X
溫曉露 WEN Xiaolu	BRY403	X			X
WILLIS Vernon Russell	AXE224	X	X
WILLS Darren Edward	BLH178	X			X					X
黃家耀 WONG Ka Yiu Steve	BAH949	X			X					X
黃繼業 WONG Olivier	BQR904	X
黃蔚敏 WONG Wai Man, Angel	BJO200	X			X
WONG Yong Wen	BOR400	X			X
WOODLAND Emily Jane	AJE851	X			X
WRIGHT Lindsay Margaret	BLR874	X			X
吳書凝 WU Shuning	BQT148	X			X					X
熊莉 XIONG Li	AQE822	X			X
許嘉 XU Michael Jia	BHH373	X			X					X
YAN Celia Chenshan	BEF685	X			X
閆然 YAN Ran	BMW330	X			X					X
楊騑 YANG Fei	BEJ497	X
楊柳 YANG Liu	BNP290	X			X					X
楊雅欣 YEUNG Nga Yan	BNL126	X			X					X
YOUNG HERRIES Flora Elizabeth Margaret	BRR765	X			X
余錦釗 YU Kam Chiu William	BDV879	X			X
ZHANG Colin	BDN956	X			X					X
張佳藝 ZHANG Jiayi	BGW820	X			X
張梦澄 ZHANG Mengcheng	BFX166	X			X					X
張騫 ZHANG Qian	BRS112	X			X
張小桐 ZHANG Xiaotong	BRZ922	X			X
張宇青 ZHANG Yuqing	BAB872	X			X					X
ZHAO Michael	BPI889	X			X
趙偉鵬 ZHAO Wei Peng	AXD832	X			X					X
ZHENG Yilin	BRU730	X			X
朱彥霖 ZHU Yanlin	BBT505	X			X
ZHUANG Shenghao Eugene	BOP949	X			X
鄒斯雨 ZOU Siyu	BSE888	X			X

聯絡詳情

電話號碼	傳真號碼	電郵地址	通訊地址
39032688	39032900	[email protected]

有效期至	英文名稱	中文名稱
2009年12月17日	Barclays Global Investors North Asia Limited	巴克萊國際投資管理北亞有限公司
1998年11月08日	Power Gate Limited