Personnel SFC Licences and HKMA Registrations (ID 24525445)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2022-07-18	-
	Rep	Dealing in futures contracts	2022-07-18	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2020-12-09	2022-04-29
	Rep	Dealing in securities	2020-11-17	2022-04-29
Liquidnet Asia Limited	Rep	Providing automated trading services	2020-05-07	2020-10-13
	Rep	Dealing in securities	2020-05-07	2020-10-13

HKMA registrations

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

HKMA registration number: AI5456

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	SALES AND MARKETING	2022-07-04	—	Current
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	SALES AND MARKETING	2022-07-04	—	Current
BNP PARIBAS	Dealing in securities	Non-EO	—	2020-11-09	2022-04-29	Former