Personnel SFC Licences and HKMA Registrations (ID 27178307)

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	Dealing in futures contracts	2023-02-03	-
	Rep	Dealing in securities	2023-02-03	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2021-09-01	2023-01-11
	Rep	Dealing in securities	2021-09-01	2023-01-11

HKMA registrations

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

HKMA registration number: AI7446

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Dealing in securities	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2023-01-30	—	Current
BARCLAYS BANK PLC	Dealing in securities	Non-EO	—	2021-08-19	2023-01-11	Former