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MACKAY, STUART BRUCE RORY

HKMA AG6734HKMA 有關人士現時已註冊主管人員 (EO)
HKMA 官方紀錄

MACKAY, STUART BRUCE RORY（HKMA 註冊編號 AG6734）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 HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 1 Type 1: dealing in securities否MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING2019-06-22
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 4 Type 4: advising on securities否MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING2019-06-22
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)RA 6 Type 6: advising on corporate finance是MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING2019-06-22

業務地址 Business Address

註冊機構SFC CE 編號地址
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)AAA5231 QUEEN'S ROAD CENTRAL, HONG KONG.

註冊條件 Conditions

Registered Institution Effective Date Description 1 Registered Institution HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Effective Date 19 Mar 2025 --> 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.

註冊紀錄 Registration History (5)

2025-03-19 – 現時 現職
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) 主管人員 (EO)
RA 6
2019-06-22 – 現時 現職
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 1 RA 4
2019-06-22 – 2025-03-18
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 6
2015-03-07 – 2018-02-09
UBS AG
RA 1 RA 4 RA 6
2009-10-13 – 2015-03-09
UBS AG
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/AG6734