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1. • • The revised Section 20 of the Banking Ordinance requires that the name and other specified particulars of any staff engaged by a registered institution in conducting regulated activities (relevant individual) should be entered in a public register maintained by the HKMA.
     www.info.gov.hk/gia/general/200304/01/0401100.htm

     HKMA register of securities staff of authorized institutions

2. 其他人也問了

   What is the HKMA Register?

   • The HKMA Register The revised section 20 of the Banking Ordinance (BO) requires that the HKMA Register shall contain specified particulars of every relevant individual of a RI 1 and be made available for public inspection in the form of an on-line record.

   Register of relevant individuals to be maintained by the HKMA under the

   www.hkma.gov.hk/eng/regulatory-resources/regulatory-guides/circulars/2002/09/circu_20020912-1/

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   Who should be included in the HKMA Register?

   • It should be noted that individuals who perform functions similar to that of an EO but who are not formally appointed as EOs during the transitional period are nevertheless relevant individuals, and as such their specified particulars should be included in the HKMA Register.

   Register of relevant individuals to be maintained by the HKMA under the

   www.hkma.gov.hk/eng/regulatory-resources/regulatory-guides/circulars/2002/09/circu_20020912-1/

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   Will HKMA maintain a register of'relevant individuals'?

   • 12 September 2002 Dear Sir/Madam, You will be aware from my letter of 5 July 2002 that the HKMA will maintain a register of "relevant individuals" (HKMA Register) in accordance with the Banking (Amendment) Ordinance 2002 (BAO 2002) under the new securities supervisory regime.

   Register of relevant individuals to be maintained by the HKMA under the

   www.hkma.gov.hk/eng/regulatory-resources/regulatory-guides/circulars/2002/09/circu_20020912-1/

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   What does HKMA stand for?

   • The Hong Kong Monetary Authority (HKMA) launched today (April 1) a new public register containing specified particulars of the staff of authorized institutions (AIs) engaging in securities business, following the commencement of the Securities and Futures Ordinance (SFO) and Banking (Amendment) Ordinance 2002.

   HKMA register of securities staff of authorized institutions

   www.info.gov.hk/gia/general/200304/01/0401100.htm

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3. www.hkma.gov.hk › eng › regulatory-resourcesHong Kong Monetary Authority - Registers and Lists

   www.hkma.gov.hk › eng › regulatory-resources

   • 網頁紀錄

   2023年7月11日 · Registers and Lists. Register of AIs & LROs ( API Available ) Register of Securities Staff of AIs ( API Available ) Register of SVF Licensees ( API Available ) List of AI-related Trustees ( API Available ) Last revision date : 11 July 2023.

   • Register of Securities Staff of AIs

     By publishing this Register, the HKMA does not ...

4. www.hkma.gov.hk › eng › regulatory-resourcesRegister of relevant individuals to be maintained by the ...

   www.hkma.gov.hk › eng › regulatory-resources

   • 網頁紀錄

   2002年9月12日 · The HKMA Register. The revised section 20 of the Banking Ordinance (BO) requires that the HKMA Register shall contain specified particulars of every relevant individual of a RI 1 and be made available for public inspection in the form of an on-line record.

5. www.hkma.gov.hk › eng › regulatory-resourcesRegister of Relevant Individuals under Section 20(1)(ea) of ...

   www.hkma.gov.hk › eng › regulatory-resources

   • 網頁紀錄

   2005年2月21日 · The purpose of this letter is to remind registered institutions (RIs), including deemed RIs, of the importance of maintaining accurate information in the HKMA electronic register of relevant individuals established under section 20(1)(ea) of the BO, and to

6. www.hkma.gov.hk › eng › regulatory-resourcesExecutive officers of registered institutions - Hong Kong ...

   www.hkma.gov.hk › eng › regulatory-resources

   • 網頁紀錄

   2002年9月12日 · Executive officers of registered institutions. You will be aware from my letters of 5 July and 12 September 2002 that the Banking (Amendment) Ordinance 2002 (BAO 2002) requires every authorized institution (AI) registered with the Securities and Futures Commission (i.e. registered institution, or RI) to appoint executive officers ...

7. www.hkma.gov.hk › eng › regulatory-resourcesNew securities supervisory regime Register to be maintained ...

   www.hkma.gov.hk › eng › regulatory-resources

   • 網頁紀錄

   2002年12月20日 · Every RI should ensure that a relevant individual does not engage in any regulated activity unless the individual's name is first placed on the HKMA Register. The RI will be notified by electronic mail of the HKMA registration number assigned to the relevant

8. www.info.gov.hk › gia › generalHKMA register of securities staff of authorized institutions

   www.info.gov.hk › gia › general

   • 網頁紀錄

   The Hong Kong Monetary Authority (HKMA) launched today (April 1) a new public register containing specified particulars of the staff of authorized institutions (AIs) engaging in securities business, following the commencement of the Securities and Futures Ordinance (SFO) and Banking (Amendment) Ordinance 2002.

9. vpr.hkma.gov.hkRegister of AIs & LROs - Hong Kong Monetary Authority

   vpr.hkma.gov.hk

   • 網頁紀錄

   5 天前 · Register of AIs & LROs. “You may search for disclosure statements of AIs under the Banking (Disclosure) Rules and the Financial Institutions (Resolution) (Loss-absorbing Capacity Requirements – Banking Sector) Rules of the last 3 years from the online Register of AIs and LROs.