Personnel SFC Licences and HKMA Registrations (ID 12818071)

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	2021-12-01	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2019-08-23	2021-09-30
	Rep	Dealing in securities	2019-08-23	2021-09-30
AP Capital Management (Hong Kong) Limited	Rep	Advising on futures contracts	2018-08-01	2019-04-01
	Rep	Advising on securities	2018-08-01	2019-04-01
	Rep	Dealing in futures contracts	2018-08-01	2019-04-01
	Rep	Dealing in securities	2018-08-01	2019-04-01
	Rep	Asset management	2018-03-01	2019-04-01

HKMA registrations

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

HKMA registration number: AI2685

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, ASSOCIATE DIRECTOR	2022-05-20	—	Current
香港上海滙豐銀行有限公司	Advising on futures contracts	Non-EO	MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR	2022-05-20	—	Current
香港上海滙豐銀行有限公司	Dealing in securities	Non-EO	MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR	2021-12-25	—	Current
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR	2021-12-25	—	Current
HSBC BANK PLC	Dealing in securities	Non-EO	—	2021-12-25	2025-05-30	Former
HSBC BANK PLC	Advising on securities	Non-EO	—	2021-12-25	2025-05-30	Former
BARCLAYS BANK PLC	Dealing in securities	Non-EO	—	2019-09-04	2021-09-30	Former