Personnel SFC Licences and HKMA Registrations (ID 89315)

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
BARCLAYS CAPITAL ASIA LIMITED	RO	Dealing in securities	2023-07-28	-
	Rep	Dealing in securities	2021-10-07	2023-07-28
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2016-05-16	2019-08-14
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-04-26	2013-09-05
	Rep	Dealing in securities	2005-09-28	2019-08-14

HKMA registrations

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

HKMA registration number: AI3359

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
BARCLAYS BANK PLC	Dealing in securities	EO	MANAGING DIRECTOR (MARKETS)	2023-08-03	—	Current
BARCLAYS BANK PLC	Dealing in securities	Non-EO	—	2021-10-06	2023-08-02	Former
DEUTSCHE BANK AKTIENGESELLSCHAFT	Dealing in securities	EO	—	2020-11-11	2021-07-02	Former
DEUTSCHE BANK AKTIENGESELLSCHAFT	Dealing in securities	Non-EO	—	2019-11-18	2020-11-10	Former