Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KAWABATA, HAJIME
Chinese Name of Relevant Individual
川端一
HKMA Registration Number
AF3403
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
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2011 - 08 May 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2011 - 08 May 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
18 Oct 2011 - 08 May 2014
Is an Executive Officer? (Yes / No)
Yes
Records: 1-3 of 3
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
KAWABATA, HAJIME
:
Chinese Name of Relevant Individual
川端一
:
HKMA Registration Number
AF3403
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3403
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
18 Oct 2011 - 08 May 2014
Yes
AF3403
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
18 Oct 2011 - 08 May 2014
Yes
AF3403
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
18 Oct 2011 - 08 May 2014
Yes
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.