Personnel SFC Licences and HKMA Registrations (ID 24624733)

Key Data Licences & registrations Public Disciplinary Actions

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	RO	Advising on securities	2020-06-01	-

HKMA registrations

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

HKMA registration number: AE7905

HKMA registration number: AF1927

HKMA registration number: AG3856

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BARCLAYS BANK PLC	Advising on securities	EO	MANAGING DIRECTOR (RESEARCH)	2020-11-11	—	Current
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2020-01-10	2020-01-15	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2019-09-09	2019-09-13	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2019-05-03	2019-05-10	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2019-01-04	2019-01-09	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2018-09-07	2018-09-14	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2018-06-04	2018-06-08	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2018-01-12	2018-01-16	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2017-09-19	2017-09-22	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2017-06-30	2017-07-05	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2017-04-21	2017-04-27	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2017-01-13	2017-01-18	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2016-12-12	2016-12-15	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2016-09-20	2016-09-23	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2016-06-17	2016-06-24	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2016-01-11	2016-01-13	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2015-09-21	2015-09-24	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2015-05-11	2015-05-15	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2015-01-13	2015-01-16	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2014-09-14	2014-09-19	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2014-06-25	2014-07-04	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2013-10-29	2013-11-01	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2013-06-24	2013-06-26	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2012-09-16	2012-09-21	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2012-07-08	2012-07-13	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2011-09-04	2011-09-09	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2011-07-11	2011-07-17	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2011-05-03	2011-05-06	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2010-09-05	2010-09-10	Former