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DYNON, JAMES FRANCIS

HKMA AI3485HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

DYNON, JAMES FRANCIS (HKMA registration number AI3485) 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 securitiesYesHEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA2019-12-07
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 4 Type 4: advising on securitiesYesHEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA2019-12-07
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 6 Type 6: advising on corporate financeYesHEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA2019-12-07

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 27 May 2024 --> 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 HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Effective Date 19 Dec 2025 --> Description --> For Types 1, 4 and 6 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) not subject to a similar condition.

Registration History (2)

2024-05-27 – present Current
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Executive Officer
RA 1 RA 4 RA 6
2019-12-07 – 2024-05-26
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/AI3485