Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHARMA, YASHPAL
Chinese Name of Relevant Individual
HKMA Registration Number
AC7770
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
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2006 - 19 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
14 Sep 2006 - 19 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2005 - 13 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2005 - 13 Sep 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SHARMA, YASHPAL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC7770
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7770
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
14 Sep 2006 - 19 Feb 2009
No
AC7770
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
14 Sep 2006 - 19 Feb 2009
No
AC7770
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Dec 2005 - 13 Sep 2006
No
AC7770
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Dec 2005 - 13 Sep 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.