Personnel SFC Licences and HKMA Registrations (ID 69657)

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

No SFC licenses available

HKMA registrations

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

HKMA registration number: AE6762

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Dealing in securities	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2021-07-17	—	Current
BNP PARIBAS	Advising on corporate finance	Non-EO	CORPORATE AND INSTITUTIONAL BANKING	2021-07-17	—	Current
香港上海滙豐銀行有限公司	Dealing in securities	Non-EO	—	2014-08-30	2019-10-04	Former
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	—	2014-08-30	2019-10-04	Former
香港上海滙豐銀行有限公司	Advising on corporate finance	Non-EO	—	2014-08-30	2019-10-04	Former
BARCLAYS BANK PLC	Dealing in securities	Non-EO	—	2010-06-10	2013-01-23	Former
BARCLAYS BANK PLC	Advising on securities	Non-EO	—	2010-06-10	2013-01-23	Former
BARCLAYS BANK PLC	Advising on corporate finance	Non-EO	—	2010-06-10	2013-01-23	Former