Personnel SFC Licences and HKMA Registrations (ID 70407)

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	RO	Advising on corporate finance	2013-03-28	-
	RO	Dealing in securities	2012-10-12	-
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	RO	Advising on corporate finance	2008-12-08	2016-12-31
	RO	Dealing in securities	2008-12-08	2016-12-31
	Rep	Advising on corporate finance	2007-09-04	2008-12-08
	Rep	Dealing in securities	2007-09-04	2008-12-08
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2007-09-04	2012-10-12
FUBON CAPITAL (HK) LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-06-21
	Rep	Advising on securities	2003-04-01	2005-06-21

HKMA registrations

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

HKMA registration number: AC6035

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Dealing in securities	EO	CO-HEAD OF CORPORATE COVERAGE HONG KONG	2025-05-27	—	Current
BNP PARIBAS	Advising on corporate finance	EO	CO-HEAD OF CORPORATE COVERAGE HONG KONG	2025-05-27	—	Current
BNP PARIBAS	Dealing in securities	Non-EO	—	2015-12-04	2025-05-26	Former
BNP PARIBAS	Advising on corporate finance	Non-EO	—	2015-12-04	2025-05-26	Former
DBS BANK LTD.	Dealing in securities	Non-EO	—	2005-06-28	2007-07-15	Former
DBS BANK LTD.	Advising on securities	Non-EO	—	2005-06-28	2007-07-15	Former
DBS BANK LTD.	Advising on corporate finance	Non-EO	—	2005-06-28	2007-07-15	Former