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LI, HELEN

李愷言
HKMA AH9700HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

LI, HELEN (HKMA registration number AH9700) 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.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 1 Type 1: dealing in securitiesYesGLOBAL HEAD OF NATURAL RESOURCES2018-10-19
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 4 Type 4: advising on securitiesYesGLOBAL HEAD OF NATURAL RESOURCES2018-10-19
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 6 Type 6: advising on corporate financeYesGLOBAL HEAD OF NATURAL RESOURCES2018-10-19

Business Address

Registered InstitutionSFC CE No.Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)AAA5231 QUEEN'S ROAD CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Effective Date 24 Aug 2020 --> 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.

Registration History (2)

2020-08-24 – present Current
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Executive Officer
RA 1 RA 4 RA 6
2018-10-19 – 2020-08-23
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 1 RA 4 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/AH9700