Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BARON, ALEXIS
Chinese Name of Relevant Individual
HKMA Registration Number
AF3315
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2012 - 26 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2012 - 26 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Aug 2012 - 26 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2011 - 10 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
12 Oct 2011 - 10 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Oct 2011 - 10 Apr 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
BARON, ALEXIS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3315
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3315
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
29 Aug 2012 - 26 Jun 2013
No
AF3315
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
29 Aug 2012 - 26 Jun 2013
No
AF3315
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
29 Aug 2012 - 26 Jun 2013
No
AF3315
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
12 Oct 2011 - 10 Apr 2012
No
AF3315
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
12 Oct 2011 - 10 Apr 2012
No
AF3315
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
12 Oct 2011 - 10 Apr 2012
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.