Personnel SFC Licences and HKMA Registrations (ID 88343)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2025-04-11	-
	Rep	Dealing in securities	2012-08-20	2025-04-11
MIRABAUD (ASIA) LIMITED	Rep	Dealing in securities	2008-12-08	2012-07-21
	Rep	Advising on securities	2008-11-24	2012-07-21
GIGA (HONG KONG) LIMITED	Rep	Asset management	2008-01-10	2008-10-31
	Rep	Advising on securities	2008-01-02	2008-10-31
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-02-08	2007-10-12
ETRADE SECURITIES LIMITED	Rep	Advising on securities	2005-11-16	2007-10-31
	Rep	Dealing in securities	2005-11-16	2007-10-31
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2005-08-11	2007-11-23
	Rep	Dealing in securities	2005-08-09	2007-11-23
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2004-03-11	2005-08-04

HKMA registrations

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

HKMA registration number: AF6870

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
香港上海滙豐銀行有限公司	Dealing in futures contracts	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2021-11-26	—	Current
香港上海滙豐銀行有限公司	Advising on futures contracts	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2021-11-26	—	Current
香港上海滙豐銀行有限公司	Dealing in securities	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2012-08-15	—	Current
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	MARKETS & SECURITIES SERVICES, DIRECTOR	2012-08-15	—	Current
HSBC BANK PLC	Dealing in securities	Non-EO	—	2018-12-01	2025-05-30	Former
HSBC BANK PLC	Advising on securities	Non-EO	—	2018-12-01	2025-05-30	Former