Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DYNON, JAMES FRANCIS
Chinese Name of Relevant Individual
HKMA Registration Number
AI3485
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
07 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Effective Date
27 May 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Effective Date
19 Dec 2025
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 HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 27 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2019 - 26 May 2024
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
07 Dec 2019 - 26 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
07 Dec 2019 - 26 May 2024
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
DYNON, JAMES FRANCIS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI3485
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Dec 2019
Yes
HEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Dec 2019
Yes
HEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
07 Dec 2019
Yes
HEAD OF INFRASTRUCTURE FINANCE, ASIA & MENAT, HEAD OF HIF & STRATEGIC FINANCING PARTNERSHIPS, AUSTRALIA
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
1
27 May 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.
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
2
19 Dec 2025
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 HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3485
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 27 May 2024
Yes
AI3485
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 27 May 2024
Yes
AI3485
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
Since 27 May 2024
Yes
AI3485
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Dec 2019 - 26 May 2024
No
AI3485
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Dec 2019 - 26 May 2024
No
AI3485
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
07 Dec 2019 - 26 May 2024
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.