LI, HELEN

李愷言

HKMA AH9700HKMA 有關人士現時已註冊主管人員 (EO)

LI, HELEN（HKMA 註冊編號 AH9700）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 1 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	是	GLOBAL HEAD OF NATURAL RESOURCES	2018-10-19
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)	RA 4 Type 4: advising on securities	是	GLOBAL HEAD OF NATURAL RESOURCES	2018-10-19
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)	RA 6 Type 6: advising on corporate finance	是	GLOBAL HEAD OF NATURAL RESOURCES	2018-10-19

業務地址 Business Address

註冊機構	SFC CE 編號	地址
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)	AAA523	1 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 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.

註冊紀錄 Registration History (2)

2020-08-24 – 現時現職

HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) 主管人員 (EO)

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

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/AH9700