Personnel SFC Licences and HKMA Registrations (ID 11786012)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2017-08-07	-

HKMA registrations

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

HKMA registration number: AH5694

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
香港上海滙豐銀行有限公司	Dealing in futures contracts	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2021-12-28	—	Current
香港上海滙豐銀行有限公司	Advising on futures contracts	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2021-12-28	—	Current
香港上海滙豐銀行有限公司	Dealing in securities	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2017-09-05	—	Current
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2017-09-05	—	Current
HSBC BANK PLC	Dealing in securities	Non-EO	—	2020-01-08	2025-05-30	Former
HSBC BANK PLC	Advising on securities	Non-EO	—	2020-01-08	2025-05-30	Former