Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BAKSHI, ABHISHEK
Chinese Name of Relevant Individual
HKMA Registration Number
AC9378
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
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2019 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2019 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2019 - 25 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2019 - 25 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2018 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
11 May 2018 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Nov 2017 - 01 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
29 Nov 2017 - 01 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2017 - 30 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2017 - 30 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2017 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
20 Apr 2017 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Dec 2016 - 13 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
12 Dec 2016 - 13 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2006 - 30 Nov 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
BAKSHI, ABHISHEK
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC9378
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
21 Mar 2019 - 22 Mar 2019
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
21 Mar 2019 - 22 Mar 2019
No
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
24 Jan 2019 - 25 Jan 2019
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
24 Jan 2019 - 25 Jan 2019
No
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
11 May 2018 - 15 May 2018
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
11 May 2018 - 15 May 2018
No
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
29 Nov 2017 - 01 Dec 2017
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
29 Nov 2017 - 01 Dec 2017
No
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
28 Jun 2017 - 30 Jun 2017
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
28 Jun 2017 - 30 Jun 2017
No
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
20 Apr 2017 - 21 Apr 2017
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
20 Apr 2017 - 21 Apr 2017
No
AC9378
CIMB BANK BERHAD
Type 1: dealing in securities
12 Dec 2016 - 13 Dec 2016
No
AC9378
CIMB BANK BERHAD
Type 4: advising on securities
12 Dec 2016 - 13 Dec 2016
No
AC9378
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
17 May 2006 - 30 Nov 2011
No
AC9378
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
17 May 2006 - 30 Nov 2011
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.