Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FOY, WARWICK JAMES
Chinese Name of Relevant Individual
黃文力
HKMA Registration Number
AI2821
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Mar 2022 - 05 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
05 Mar 2022 - 05 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
05 Mar 2022 - 05 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
05 Mar 2022 - 05 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIONAL AUSTRALIA BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Sep 2019 - 31 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIONAL AUSTRALIA BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Sep 2019 - 31 Oct 2021
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
FOY, WARWICK JAMES
:
Chinese Name of Relevant Individual
黃文力
:
HKMA Registration Number
AI2821
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2821
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Mar 2022 - 05 May 2026
No
AI2821
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
05 Mar 2022 - 05 May 2026
No
AI2821
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Mar 2022 - 05 May 2026
No
AI2821
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
05 Mar 2022 - 05 May 2026
No
AI2821
NATIONAL AUSTRALIA BANK LIMITED
Type 1: dealing in securities
19 Sep 2019 - 31 Oct 2021
No
AI2821
NATIONAL AUSTRALIA BANK LIMITED
Type 4: advising on securities
19 Sep 2019 - 31 Oct 2021
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.