Personnel SFC Licences and HKMA Registrations (ID 2538806)

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 corporate finance	2022-05-31	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2021-08-13	2022-03-24
	Rep	Dealing in securities	2021-08-13	2022-03-24
MCM ASIA LIMITED (TRADING AS MCM PARTNERS) (	Rep	Dealing in securities	2016-02-23	2016-04-08

HKMA registrations

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

HKMA registration number: AH1204

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Dealing in securities	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2022-06-10	—	Current
BNP PARIBAS	Advising on corporate finance	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2022-06-10	—	Current
BARCLAYS BANK PLC	Dealing in securities	Non-EO	—	2021-08-05	2022-03-24	Former
BARCLAYS BANK PLC	Advising on corporate finance	Non-EO	—	2021-08-05	2022-03-24	Former
加拿大皇家銀行	Advising on securities	Non-EO	—	2019-01-22	2021-06-16	Former
加拿大皇家銀行	Dealing in securities	Non-EO	—	2016-06-27	2021-06-16	Former
加拿大皇家銀行	Advising on corporate finance	Non-EO	—	2016-06-27	2021-06-16	Former
加皇資本市場 (香港) 有限公司	Dealing in securities	Non-EO	—	2016-04-11	2016-07-26	Former
加皇資本市場 (香港) 有限公司	Advising on corporate finance	Non-EO	—	2016-04-11	2016-07-26	Former