Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JAMES, MARTIN CLIVE
Chinese Name of Relevant Individual
HKMA Registration Number
AC6812
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF EXPAT DISTRIBUTION, ASIA PACIFIC
Remarks
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF EXPAT DISTRIBUTION, ASIA PACIFIC
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HSBC BANK PLC
SFC CE number
AFJ824
Business Address
LEVEL 18, HSBC MAIN BUILDING, NO. 1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
HSBC BANK PLC
Effective Date
27 Aug 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 HSBC BANK PLC 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
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Mar 2006 - 12 Jan 2009
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Mar 2006 - 12 Jan 2009
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2005 - 07 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Sep 2005 - 07 Mar 2006
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
JAMES, MARTIN CLIVE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC6812
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HSBC BANK PLC
Type 1: dealing in securities
20 Apr 2022
Yes
HEAD OF EXPAT DISTRIBUTION, ASIA PACIFIC
HSBC BANK PLC
Type 4: advising on securities
20 Apr 2022
Yes
HEAD OF EXPAT DISTRIBUTION, ASIA PACIFIC
Name of Registered Institution
SFC CE number
Business Address
HSBC BANK PLC
AFJ824
LEVEL 18, HSBC MAIN BUILDING, NO. 1 QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
HSBC BANK PLC
1
27 Aug 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 HSBC BANK PLC not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6812
HSBC BANK PLC
Type 1: dealing in securities
Since 20 Apr 2022
Yes
AC6812
HSBC BANK PLC
Type 4: advising on securities
Since 20 Apr 2022
Yes
AC6812
HSBC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Mar 2006 - 12 Jan 2009
Yes
AC6812
HSBC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
08 Mar 2006 - 12 Jan 2009
Yes
AC6812
HSBC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Sep 2005 - 07 Mar 2006
No
AC6812
HSBC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
05 Sep 2005 - 07 Mar 2006
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.