Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KRIESEL, ROSEMARIE DELPHINE
Chinese Name of Relevant Individual
HKMA Registration Number
AC9730
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Mar 2017 - 31 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 9: asset management
Effective Period
10 Jul 2014 - 18 Apr 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2012 - 18 Apr 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2012 - 18 Apr 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2012 - 20 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2012 - 20 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2011 - 19 Jan 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2011 - 19 Jan 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2010 - 19 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jul 2007 - 19 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2006 - 11 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jun 2006 - 11 Apr 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
KRIESEL, ROSEMARIE DELPHINE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC9730
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9730
ROYAL BANK OF CANADA
Type 1: dealing in securities
10 Mar 2017 - 31 Jan 2019
No
AC9730
BANK OF NEW YORK MELLON (THE)
Type 9: asset management
10 Jul 2014 - 18 Apr 2016
Yes
AC9730
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
21 Dec 2012 - 18 Apr 2016
Yes
AC9730
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
21 Dec 2012 - 18 Apr 2016
Yes
AC9730
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
10 Jul 2012 - 20 Dec 2012
No
AC9730
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
10 Jul 2012 - 20 Dec 2012
No
AC9730
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
20 Jul 2011 - 19 Jan 2012
Yes
AC9730
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
20 Jul 2011 - 19 Jan 2012
Yes
AC9730
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
09 Jan 2010 - 19 Jul 2011
No
AC9730
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
18 Jul 2007 - 19 Jul 2011
No
AC9730
BANK OF NEW YORK (THE)
Type 1: dealing in securities
16 Jun 2006 - 11 Apr 2007
No
AC9730
BANK OF NEW YORK (THE)
Type 4: advising on securities
16 Jun 2006 - 11 Apr 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.