Personnel SFC Licences and HKMA Registrations (ID 26298829)

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	2025-10-23	-
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2022-06-22	2024-05-28
CLSA LIMITED	Rep	Advising on securities	2021-03-08	2022-04-04

HKMA registrations

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

HKMA registration number: AI9442

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Advising on corporate finance	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2025-09-15	—	Current
UBS AG	Dealing in securities	Non-EO	—	2022-05-26	2024-05-28	Former
UBS AG	Advising on securities	Non-EO	—	2022-05-26	2024-05-28	Former
UBS AG	Advising on corporate finance	Non-EO	—	2022-05-26	2024-05-28	Former