Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CLAY IV, WILLIAM THOMAS
Chinese Name of Relevant Individual
HKMA Registration Number
AC9188
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
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2012 - 10 Apr 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2012 - 10 Apr 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jul 2012 - 10 Apr 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2011 - 08 Jul 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2011 - 08 Jul 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Jun 2011 - 08 Jul 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Mar 2009 - 28 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2006 - 28 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2006 - 28 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Apr 2006 - 29 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Apr 2006 - 29 Mar 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CLAY IV, WILLIAM THOMAS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC9188
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9188
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
09 Jul 2012 - 10 Apr 2015
Yes
AC9188
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
09 Jul 2012 - 10 Apr 2015
Yes
AC9188
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
09 Jul 2012 - 10 Apr 2015
Yes
AC9188
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
29 Jun 2011 - 08 Jul 2012
No
AC9188
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
29 Jun 2011 - 08 Jul 2012
No
AC9188
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
29 Jun 2011 - 08 Jul 2012
No
AC9188
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
06 Mar 2009 - 28 Oct 2010
No
AC9188
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 May 2006 - 28 Oct 2010
No
AC9188
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
10 May 2006 - 28 Oct 2010
No
AC9188
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
27 Apr 2006 - 29 Mar 2010
No
AC9188
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
27 Apr 2006 - 29 Mar 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.