SUN, JIE (HKMA registration number AH6489) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE). Has been engaged at 1 authorized institution over time.
| Registered Institution | Regulated Activity | Exec. Officer | Capacity | First engaged |
|---|---|---|---|---|
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | RA 1 Type 1: dealing in securities | Yes | HEAD OF STRUCTURED CREDIT & PORTFOLIO RISK MANAGEMENT | 2017-11-30 |
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | RA 2 Type 2: dealing in futures contracts | Yes | HEAD OF STRUCTURED CREDIT & PORTFOLIO RISK MANAGEMENT | 2021-12-28 |
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | RA 4 Type 4: advising on securities | Yes | HEAD OF STRUCTURED CREDIT & PORTFOLIO RISK MANAGEMENT | 2017-11-30 |
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | RA 5 Type 5: advising on futures contracts | Yes | HEAD OF STRUCTURED CREDIT & PORTFOLIO RISK MANAGEMENT | 2021-12-28 |
| Registered Institution | SFC CE No. | Address |
|---|---|---|
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | AAA523 | 1 QUEEN'S ROAD CENTRAL, HONG KONG. |