Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KOFMAN, MICHAËL JÉRÔME
Chinese Name of Relevant Individual
HKMA Registration Number
AJ5286
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Sep 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF EXECUTIVE
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Sep 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF EXECUTIVE
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
First date of engagement
06 Sep 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF EXECUTIVE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Effective Date
11 Dec 2024
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
2
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Effective Date
11 Dec 2024
Description
For Types 1, 4 and 9 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 CA INDOSUEZ (SWITZERLAND) SA 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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Dec 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Dec 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
Since 11 Dec 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2024 - 10 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
06 Sep 2024 - 10 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
06 Sep 2024 - 10 Dec 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
KOFMAN, MICHAËL JÉRÔME
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ5286
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
06 Sep 2024
Yes
CHIEF EXECUTIVE
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
06 Sep 2024
Yes
CHIEF EXECUTIVE
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
06 Sep 2024
Yes
CHIEF EXECUTIVE
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Registered Institution
Effective Date
Description
CA INDOSUEZ (SWITZERLAND) SA
1
11 Dec 2024
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
CA INDOSUEZ (SWITZERLAND) SA
2
11 Dec 2024
For Types 1, 4 and 9 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 CA INDOSUEZ (SWITZERLAND) SA not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5286
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 11 Dec 2024
Yes
AJ5286
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 11 Dec 2024
Yes
AJ5286
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
Since 11 Dec 2024
Yes
AJ5286
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
06 Sep 2024 - 10 Dec 2024
No
AJ5286
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
06 Sep 2024 - 10 Dec 2024
No
AJ5286
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
06 Sep 2024 - 10 Dec 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.