Personnel SFC Licences and HKMA Registrations (ID 22373988)

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 Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2026-09-28	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2025-11-17	2026-08-10
	Rep	Dealing in securities	2025-11-17	2026-08-10
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2021-01-19	2023-05-24
	Rep	Dealing in securities	2021-01-19	2023-05-24
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2018-10-31	2020-12-18
	Rep	Dealing in securities	2018-10-31	2020-12-18

HKMA registrations

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

HKMA registration number: AH9537

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 securities	Non-EO	ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING	2026-09-16	—	Current
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING	2026-09-16	—	Current
香港上海滙豐銀行有限公司	Advising on corporate finance	Non-EO	ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING	2026-09-16	—	Current
BNP PARIBAS	Dealing in securities	Non-EO	—	2018-10-06	2020-12-18	Former
BNP PARIBAS	Advising on corporate finance	Non-EO	—	2018-10-06	2020-12-18	Former