Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
STOEHR, CARSTEN HIDEKI ALOIS
Chinese Name of Relevant Individual
HKMA Registration Number
AF6111
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Apr 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Apr 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
04 Apr 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
SFC CE number
AIU472
Business Address
8/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Effective Date
16 Oct 2024
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.
2
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Effective Date
16 Oct 2024
Description
For Types 1, 4 and 6 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of SUMITOMO MITSUI BANKING CORPORATION not subject to a similar condition.
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
Since 16 Oct 2024
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
Since 16 Oct 2024
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
Since 16 Oct 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2024 - 15 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
04 Apr 2024 - 15 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Apr 2024 - 15 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2013 - 17 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2013 - 17 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Mar 2013 - 17 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2012 - 20 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2012 - 20 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jun 2012 - 20 Mar 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
STOEHR, CARSTEN HIDEKI ALOIS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6111
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
04 Apr 2024
Yes
MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
04 Apr 2024
Yes
MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
04 Apr 2024
Yes
MANAGING EXECUTIVE OFFICER, DEPUTY HEAD OF ASIA PACIFIC DIVISION
Name of Registered Institution
SFC CE number
Business Address
SUMITOMO MITSUI BANKING CORPORATION
AIU472
8/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
SUMITOMO MITSUI BANKING CORPORATION
1
16 Oct 2024
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.
SUMITOMO MITSUI BANKING CORPORATION
2
16 Oct 2024
For Types 1, 4 and 6 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of SUMITOMO MITSUI BANKING CORPORATION not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6111
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
Since 16 Oct 2024
Yes
AF6111
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
Since 16 Oct 2024
Yes
AF6111
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
Since 16 Oct 2024
Yes
AF6111
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
04 Apr 2024 - 15 Oct 2024
No
AF6111
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
04 Apr 2024 - 15 Oct 2024
No
AF6111
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
04 Apr 2024 - 15 Oct 2024
No
AF6111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Mar 2013 - 17 Nov 2015
Yes
AF6111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Mar 2013 - 17 Nov 2015
Yes
AF6111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Mar 2013 - 17 Nov 2015
Yes
AF6111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jun 2012 - 20 Mar 2013
No
AF6111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jun 2012 - 20 Mar 2013
No
AF6111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
01 Jun 2012 - 20 Mar 2013
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.