Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROTH, GUNTHER JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AC0028
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Dec 2015 - 30 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Dec 2015 - 30 Nov 2019
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
11 Mar 2010 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Mar 2010 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2003 - 15 Jan 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jun 2003 - 15 Jan 2010
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
ROTH, GUNTHER JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC0028
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0028
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
17 Dec 2015 - 30 Nov 2019
No
AC0028
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
17 Dec 2015 - 30 Nov 2019
No
AC0028
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Mar 2010 - 31 Mar 2014
No
AC0028
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
11 Mar 2010 - 31 Mar 2014
No
AC0028
UBS AG
Type 4: advising on securities
09 Jun 2003 - 15 Jan 2010
No
AC0028
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 15 Jan 2010
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.