Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
STERTZENBACH, HERBERT PETER
Chinese Name of Relevant Individual
HKMA Registration Number
AA2517
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2016 - 31 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jul 2016 - 31 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jan 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 06 Nov 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
STERTZENBACH, HERBERT PETER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AA2517
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2517
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Jul 2016 - 31 May 2018
No
AA2517
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Jul 2016 - 31 May 2018
No
AA2517
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
17 Jan 2014 - 08 Apr 2016
No
AA2517
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
17 Jan 2014 - 08 Apr 2016
No
AA2517
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Apr 2003 - 06 Nov 2013
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.