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STOEHR, CARSTEN HIDEKI ALOIS

HKMA AF6111HKMA 有關人士現時已註冊主管人員 (EO)
HKMA 官方紀錄

STOEHR, CARSTEN HIDEKI ALOIS（HKMA 註冊編號 AF6111）為香港金融管理局「認可機構證券業務員工註冊紀錄冊」內的有關人士。現時於 SUMITOMO MITSUI BANKING CORPORATION 註冊進行受規管活動。歷年曾於 2 間認可機構任職。

現時註冊 Current Registration (3)

註冊機構受規管活動主管人員職位 Capacity首次受聘日期
SUMITOMO MITSUI BANKING CORPORATIONRA 1 Type 1: dealing in securities是MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION2024-04-04
SUMITOMO MITSUI BANKING CORPORATIONRA 4 Type 4: advising on securities是MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION2024-04-04
SUMITOMO MITSUI BANKING CORPORATIONRA 6 Type 6: advising on corporate finance是MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION2024-04-04

業務地址 Business Address

註冊機構SFC CE 編號地址
SUMITOMO MITSUI BANKING CORPORATIONAIU4728/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.

註冊條件 Conditions

Registered Institution Effective Date Description 1 Registered Institution SUMITOMO MITSUI BANKING CORPORATION Effective Date 16 Oct 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 SUMITOMO MITSUI BANKING CORPORATION Effective Date 16 Oct 2024 --> 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 SUMITOMO MITSUI BANKING CORPORATION not subject to a similar condition.

註冊紀錄 Registration History (4)

2024-10-16 – 現時 現職
SUMITOMO MITSUI BANKING CORPORATION 主管人員 (EO)
RA 1 RA 4 RA 6
2024-04-04 – 2024-10-15
SUMITOMO MITSUI BANKING CORPORATION
RA 1 RA 4 RA 6
2013-03-21 – 2015-11-17
STANDARD CHARTERED BANK (HONG KONG) LIMITED 主管人員 (EO)
RA 1 RA 4 RA 6
2012-06-01 – 2013-03-20
STANDARD CHARTERED BANK (HONG KONG) LIMITED
RA 1 RA 4 RA 6

資料引用自香港金融管理局（HKMA）「認可機構證券業務員工註冊紀錄冊」公開紀錄，僅供參考。
官方紀錄：apps.hkma.gov.hk · JSON API：/api/hkma/AF6111