Personnel SFC Licences and HKMA Registrations (ID 70767)

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
NATIXIS ASIA LIMITED	Rep	Advising on securities	2022-08-22	-
	Rep	Dealing in securities	2022-08-22	-
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2009-05-15	2016-02-17
	Rep	Dealing in securities	2009-05-15	2016-02-17
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2007-09-03	2008-06-20
	Rep	Dealing in securities	2007-09-03	2008-06-20
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2004-07-07	2006-05-19
Yuanta Asia Investment (Hong Kong) Limited	Rep	Advising on corporate finance	2003-11-12	2004-07-07
RHB CAPITAL HONG KONG LIMITED	Rep	Advising on corporate finance	2003-08-13	2003-10-22
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-07-23

HKMA registrations

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

HKMA registration number: AC9473

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
NATIXIS	Dealing in securities	Non-EO	HEAD OF CORPORATE COVERAGE, HONG KONG & TAIWAN	2022-08-24	—	Current
NATIXIS	Advising on securities	Non-EO	HEAD OF CORPORATE COVERAGE, HONG KONG & TAIWAN	2022-08-24	—	Current
NATIXIS	Advising on corporate finance	Non-EO	HEAD OF CORPORATE COVERAGE, HONG KONG & TAIWAN	2022-08-24	—	Current
DEUTSCHE BANK AKTIENGESELLSCHAFT	Dealing in securities	Non-EO	—	2006-05-26	2007-07-09	Former
DEUTSCHE BANK AKTIENGESELLSCHAFT	Advising on corporate finance	Non-EO	—	2006-05-26	2007-07-09	Former