Personnel SFC Licences and HKMA Registrations (ID 27364082)

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 corporate finance	2021-10-15	-
	Rep	Dealing in securities	2021-10-15	-

HKMA registrations

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

HKMA registration number: AI4891

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BARCLAYS BANK PLC	Dealing in securities	Non-EO	BANKING	2021-10-06	—	Current
BARCLAYS BANK PLC	Advising on corporate finance	Non-EO	BANKING	2021-10-06	—	Current
法國興業銀行	Dealing in securities	Non-EO	—	2020-08-19	2021-09-17	Former