Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
F.V. RICHTHOFEN, PETER P.H.O.A.
Chinese Name of Relevant Individual
HKMA Registration Number
AC9526
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
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jun 2015 - 07 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jun 2015 - 07 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 Jun 2015 - 07 Mar 2021
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
06 Aug 2010 - 16 Sep 2014
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
06 Aug 2010 - 16 Sep 2014
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 Aug 2010 - 16 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2007 - 06 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2007 - 06 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2006 - 14 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
30 May 2006 - 14 May 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
F.V. RICHTHOFEN, PETER P.H.O.A.
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC9526
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9526
COMMERZBANK AG
Type 1: dealing in securities
26 Jun 2015 - 07 Mar 2021
No
AC9526
COMMERZBANK AG
Type 4: advising on securities
26 Jun 2015 - 07 Mar 2021
No
AC9526
COMMERZBANK AG
Type 6: advising on corporate finance
26 Jun 2015 - 07 Mar 2021
No
AC9526
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Aug 2010 - 16 Sep 2014
No
AC9526
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Aug 2010 - 16 Sep 2014
No
AC9526
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
06 Aug 2010 - 16 Sep 2014
No
AC9526
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
27 Jul 2007 - 06 Apr 2010
No
AC9526
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
27 Jul 2007 - 06 Apr 2010
No
AC9526
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
30 May 2006 - 14 May 2007
No
AC9526
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
30 May 2006 - 14 May 2007
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.