Personnel SFC Licences and HKMA Registrations (ID 26963961)

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	Advising on securities	2023-09-05	-
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	Rep	Advising on securities	2021-07-08	2023-07-22
	Rep	Asset management	2021-07-08	2023-07-22

HKMA registrations

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

HKMA registration number: AH1013

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BARCLAYS BANK PLC	Advising on securities	Non-EO	RESEARCH	2023-08-07	—	Current
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	—	2016-03-19	2021-04-23	Former