Personnel SFC Licences and HKMA Registrations (ID 78169)

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
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-10-27	2021-11-08
	Rep	Dealing in securities	2003-04-01	-
	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-20
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	2003-04-01	2003-10-20
	Rep	Asset management	2003-04-01	2003-10-20
	Rep	Dealing in futures contracts	2003-04-01	2003-12-12
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	2003-04-01	2003-10-20
	Rep	Advising on securities	2003-04-01	2003-10-20
	Rep	Asset management	2003-04-01	2003-10-20
	Rep	Dealing in securities	2003-04-01	2003-10-27

HKMA registrations

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

HKMA registration number: AJ8242

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
DBS BANK LTD.	Dealing in securities	Non-EO	SPECIALIST, SALES TRADING & DEALING, EQUITIES INSTITUTIONAL SALES, VICKERS SECURITIES	2025-11-06	—	Current
DBS BANK LTD.	Advising on securities	Non-EO	SPECIALIST, SALES TRADING & DEALING, EQUITIES INSTITUTIONAL SALES, VICKERS SECURITIES	2025-11-06	—	Current
星展銀行 (香港) 有限公司	Dealing in securities	Non-EO	SPECIALIST, SALES TRADING & DEALING, EQUITIES INSTITUTIONAL SALES, VICKERS SECURITIES	2025-11-06	—	Current
星展銀行 (香港) 有限公司	Advising on securities	Non-EO	SPECIALIST, SALES TRADING & DEALING, EQUITIES INSTITUTIONAL SALES, VICKERS SECURITIES	2025-11-06	—	Current