Personnel SFC Licences and HKMA Registrations (ID 11295687)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2022-09-01	-
	Rep	Advising on securities	2022-09-01	-
	Rep	Dealing in securities	2022-09-01	-
FRONTIER CAPITAL INVESTMENT LIMITED	Rep	Advising on corporate finance	2017-06-01	2019-01-04
	Rep	Dealing in securities	2017-06-01	2019-01-04

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AJ0433

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
DBS BANK LTD.	Dealing in securities	Non-EO	SPECIALIST, M&A STRATEGIC ADVISORY, CORPORATE BANKING	2022-09-10	—	Current
DBS BANK LTD.	Advising on securities	Non-EO	SPECIALIST, M&A STRATEGIC ADVISORY, CORPORATE BANKING	2022-09-10	—	Current
DBS BANK LTD.	Advising on corporate finance	Non-EO	SPECIALIST, M&A STRATEGIC ADVISORY, CORPORATE BANKING	2022-09-10	—	Current
星展銀行 (香港) 有限公司	Dealing in securities	Non-EO	SPECIALIST, M&A STRATEGIC ADVISORY, CORPORATE BANKING	2022-09-10	—	Current
星展銀行 (香港) 有限公司	Advising on securities	Non-EO	SPECIALIST, M&A STRATEGIC ADVISORY, CORPORATE BANKING	2022-09-10	—	Current
星展銀行 (香港) 有限公司	Advising on corporate finance	Non-EO	SPECIALIST, M&A STRATEGIC ADVISORY, CORPORATE BANKING	2022-09-10	—	Current