Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SOHN, JAEYEON
Chinese Name of Relevant Individual
孫在延
HKMA Registration Number
AJ3135
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
WOORI GLOBAL MARKETS ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
DIRECTOR, CORPORATE FINANCE
Remarks
Registered Institution
WOORI GLOBAL MARKETS ASIA LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
DIRECTOR, CORPORATE FINANCE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
WOORI GLOBAL MARKETS ASIA LIMITED
SFC CE number
AOE788
Business Address
ROOMS 1907-1909, 19/F, GLOUCESTER TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
WOORI GLOBAL MARKETS ASIA LIMITED
Effective Date
27 May 2024
Description
For Types 1 and 4 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 Woori Global Markets Asia Limited 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
WOORI GLOBAL MARKETS ASIA LIMITED
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
WOORI GLOBAL MARKETS ASIA LIMITED
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
WOORI GLOBAL MARKETS ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2023 - 26 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WOORI GLOBAL MARKETS ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2023 - 26 May 2024
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
SOHN, JAEYEON
:
Chinese Name of Relevant Individual
孫在延
:
HKMA Registration Number
AJ3135
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
WOORI GLOBAL MARKETS ASIA LIMITED
Type 1: dealing in securities
16 Sep 2023
Yes
DIRECTOR, CORPORATE FINANCE
WOORI GLOBAL MARKETS ASIA LIMITED
Type 4: advising on securities
16 Sep 2023
Yes
DIRECTOR, CORPORATE FINANCE
Name of Registered Institution
SFC CE number
Business Address
WOORI GLOBAL MARKETS ASIA LIMITED
AOE788
ROOMS 1907-1909, 19/F, GLOUCESTER TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
WOORI GLOBAL MARKETS ASIA LIMITED
1
27 May 2024
For Types 1 and 4 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 Woori Global Markets Asia Limited not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3135
WOORI GLOBAL MARKETS ASIA LIMITED
Type 1: dealing in securities
Since 27 May 2024
Yes
AJ3135
WOORI GLOBAL MARKETS ASIA LIMITED
Type 4: advising on securities
Since 27 May 2024
Yes
AJ3135
WOORI GLOBAL MARKETS ASIA LIMITED
Type 1: dealing in securities
16 Sep 2023 - 26 May 2024
No
AJ3135
WOORI GLOBAL MARKETS ASIA LIMITED
Type 4: advising on securities
16 Sep 2023 - 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.