Barclays Capital Securities Asia Limited
巴克萊證券亞洲有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Barclays Capital Securities Asia Limited (巴克萊證券亞洲有限公司), a Hong Kong-based licensed corporation with CE reference AAA567. Current licensed staff on file: 0 (total recorded over time: 13).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2005-03-31 |
| Type 4 — Advising on securities | present | 2004-12-24 |
| Type 6 — Advising on corporate finance | present | 2004-12-24 |
| Type 9 — Asset management | present | 2004-12-24 |
Licensed staff (all-time) (13)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Bryan Hing Yip Chan 陳慶業 | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2003-07 |
| Andrew James Devonald | RO 1 | 2004-07 | 2005-01 |
| Jacques Wai Hung Han 韓偉鴻 | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2005-01 |
| Cheung Kuo 郭強 | RO 1 | Pre-2003 | 2003-04 |
| Mitchell Man Leung Lim 林民梁 | RO 1 | Pre-2003 | 2004-10 |
| Angus Sheau Yu Yang 楊曉瑜 | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2004-08 |
| Wayne Thomas Sydney Breeze | Rep 1, 4, 6, 9 | Pre-2003 | 2003-05 |
| Susan Wai-Lan Chan 陳蕙蘭 | Rep 1 | 2004-06 | 2005-01 |
| Michael Justin Gronow | Rep 1 | 2004-12 | 2005-01 |
| Hay Tsing Lau 劉希靖 | Rep 1 | 2004-10 | 2005-01 |
| Geoffrey Colm Mac-Donald | Rep 1 | 2003-10 | 2004-04 |
| James Mark Stephan | Rep 1 | 2003-12 | 2004-05 |
| Sheung Kam Yau 邱湘琴 | Rep 1 | 2004-12 | 2005-02 |
Showing 1–13 of 13