Personnel SFC Licences and HKMA Registrations (ID 2321792)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2026-05-14	-
	Rep	Dealing in futures contracts	2026-05-14	-
	Rep	Dealing in securities	2026-05-14	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2021-09-20	2024-10-04
	Rep	Dealing in securities	2021-09-20	2024-10-04
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2021-09-20	2024-10-04
Morgan Stanley Asia Limited	Rep	Advising on securities	2019-08-01	2021-08-27
	Rep	Dealing in securities	2014-09-18	2021-08-27
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2014-09-18	2019-08-01

HKMA registrations

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

HKMA registration number: AJ9581

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Dealing in securities	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2026-05-05	—	Current