Personnel SFC Licences and HKMA Registrations (ID 70426)

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	Advising on corporate finance	2025-01-16	-
	RO	Advising on corporate finance	2021-12-23	2025-01-16
	Rep	Dealing in securities	2021-03-18	-
	Rep	Advising on corporate finance	2013-03-28	2021-12-23
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2011-04-19	2016-12-31
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2006-10-18	2010-07-10
	Rep	Advising on securities	2006-10-18	2010-07-10
	Rep	Dealing in securities	2006-10-18	2010-07-10

HKMA registrations

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

HKMA registration number: AE7282

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BNP PARIBAS	Dealing in securities	Non-EO	WEALTH MANAGEMENT	2022-09-08	—	Current
BNP PARIBAS	Advising on corporate finance	Non-EO	WEALTH MANAGEMENT	2022-09-08	—	Current
BANCO BILBAO VIZCAYA ARGENTARIA S.A.	Dealing in securities	Non-EO	—	2010-07-27	2011-04-15	Former