Personnel SFC Licences and HKMA Registrations (ID 2422871)

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
HANG SENG INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2026-11-06	-
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2021-03-18	2023-08-18
	Rep	Asset management	2021-03-18	2023-08-18
	Rep	Dealing in securities	2021-03-18	2023-08-18
	Rep	Advising on securities	2015-05-19	2016-04-01
	Rep	Asset management	2015-05-19	2016-04-01
	Rep	Dealing in securities	2015-05-19	2016-04-01

HKMA registrations

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

HKMA registration number: AG7130

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
恒生銀行有限公司	Dealing in securities	Non-EO	INVESTMENT SERVICES	2026-07-24	—	Current
恒生銀行有限公司	Advising on securities	Non-EO	INVESTMENT SERVICES	2026-07-24	—	Current
恒生銀行有限公司	Providing automated trading services	Non-EO	INVESTMENT SERVICES	2026-07-24	—	Current
星展銀行 (香港) 有限公司	Dealing in securities	Non-EO	—	2023-09-26	2026-06-20	Former
星展銀行 (香港) 有限公司	Advising on securities	Non-EO	—	2023-09-26	2026-06-20	Former
恒生銀行有限公司	Asset management	Non-EO	—	2021-02-01	2023-08-18	Former
恒生銀行有限公司	Dealing in securities	Non-EO	—	2019-03-15	2023-08-18	Former
恒生銀行有限公司	Advising on securities	Non-EO	—	2019-03-15	2023-08-18	Former
恒生銀行有限公司	Providing automated trading services	Non-EO	—	2019-03-15	2023-08-18	Former
恒生銀行有限公司	Dealing in securities	Non-EO	—	2015-03-31	2016-03-31	Former
恒生銀行有限公司	Advising on securities	Non-EO	—	2015-03-31	2016-03-31	Former
恒生銀行有限公司	Providing automated trading services	Non-EO	—	2015-03-31	2016-03-31	Former