Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SU, JOU HUA
Chinese Name of Relevant Individual
蘇柔樺
HKMA Registration Number
AI2943
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
09 Apr 2022 - 13 Jan 2025
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
09 Apr 2022 - 13 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2019 - 20 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
03 Oct 2019 - 20 Oct 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SU, JOU HUA
:
Chinese Name of Relevant Individual
蘇柔樺
:
HKMA Registration Number
AI2943
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2943
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
09 Apr 2022 - 13 Jan 2025
No
AI2943
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
09 Apr 2022 - 13 Jan 2025
No
AI2943
NATWEST MARKETS PLC
Type 1: dealing in securities
03 Oct 2019 - 20 Oct 2021
No
AI2943
NATWEST MARKETS PLC
Type 4: advising on securities
03 Oct 2019 - 20 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.