Personnel SFC Licences and HKMA Registrations (ID 2644187)

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	Rep	Dealing in securities	2022-10-27	-
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2017-02-24	2018-09-14
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2016-10-14	2018-09-14

HKMA registrations

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

HKMA registration number: AH9565

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BARCLAYS BANK PLC	Dealing in securities	Non-EO	MARKETS	2022-10-06	—	Current
澳新銀行集團有限公司	Dealing in securities	Non-EO	—	2018-10-09	2022-08-26	Former
澳新銀行集團有限公司	Advising on securities	Non-EO	—	2018-10-09	2022-08-26	Former