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KIM, KANG JAE

HKMA AC9849HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

KIM, KANG JAE (HKMA registration number AC9849) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED. Has been engaged at 2 authorized institutions over time.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITEDRA 1 Type 1: dealing in securitiesYesHEAD OF CAPITAL MARKETS, ASIA2015-05-15
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITEDRA 4 Type 4: advising on securitiesYesHEAD OF CAPITAL MARKETS, ASIA2015-05-15
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITEDRA 6 Type 6: advising on corporate financeYesHEAD OF CAPITAL MARKETS, ASIA2015-05-15

Business Address

Registered InstitutionSFC CE No.Address
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITEDAAL48320/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED Effective Date 28 Oct 2019 --> Description --> For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission. 2 Registered Institution AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED Effective Date 28 Oct 2019 --> Description --> For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.

Registration History (4)

2019-10-28 – present Current
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED Executive Officer
RA 1 RA 4 RA 6
2015-05-15 – 2019-10-27
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
RA 1 RA 4 RA 6
2007-02-16 – 2010-03-22
DEUTSCHE BANK AKTIENGESELLSCHAFT
RA 1 RA 6
2006-06-24 – 2007-01-15
DEUTSCHE BANK AKTIENGESELLSCHAFT
RA 1 RA 6

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AC9849