Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SAWANT, ARUNDHATI
Chinese Name of Relevant Individual
HKMA Registration Number
AC5355
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
N.M. ROTHSCHILD & SONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
N.M. ROTHSCHILD & SONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
N.M. ROTHSCHILD & SONS (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Apr 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
SAWANT, ARUNDHATI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC5355
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5355
N.M. ROTHSCHILD & SONS (HONG KONG) LIMITED
Type 1: dealing in securities
13 Apr 2005
No
AC5355
N.M. ROTHSCHILD & SONS (HONG KONG) LIMITED
Type 4: advising on securities
13 Apr 2005
No
AC5355
N.M. ROTHSCHILD & SONS (HONG KONG) LIMITED
Type 6: advising on corporate finance
13 Apr 2005
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.