Personnel SFC Licences and HKMA Registrations (ID 23830847)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2022-08-24	-
CMB International Global Markets Limited	Rep	Dealing in securities	2021-09-01	2021-09-10
CMB International Securities Limited	Rep	Advising on securities	2019-10-25	2021-09-10
	Rep	Dealing in securities	2019-10-25	2021-09-10

HKMA registrations

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

HKMA registration number: AI7781

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BARCLAYS BANK PLC	Dealing in securities	Non-EO	MARKETS	2022-08-24	—	Current
BANC OF AMERICA SECURITIES ASIA LIMITED	Advising on securities	Non-EO	—	2022-02-07	2022-05-23	Former
BANC OF AMERICA SECURITIES ASIA LIMITED	Dealing in securities	Non-EO	—	2021-09-27	2022-05-23	Former
BANK OF AMERICA, NATIONAL ASSOCIATION	Dealing in securities	Non-EO	—	2021-09-27	2022-05-23	Former
BANK OF AMERICA, NATIONAL ASSOCIATION	Advising on securities	Non-EO	—	2021-09-27	2022-05-23	Former
BANK OF AMERICA, NATIONAL ASSOCIATION	Advising on corporate finance	Non-EO	—	2021-09-27	2022-05-23	Former