Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAZARIKA, ANUPOM
Chinese Name of Relevant Individual
HKMA Registration Number
AF0294
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
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Apr 2022 - 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
12 Apr 2022 - 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
08 Apr 2022 - 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
08 Apr 2022 - 13 Jun 2024
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
29 Sep 2021 - 13 Jun 2024
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
29 Sep 2021 - 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Mar 2011 - 18 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Mar 2011 - 18 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
HAZARIKA, ANUPOM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0294
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0294
HSBC BANK PLC
Type 1: dealing in securities
12 Apr 2022 - 13 Jun 2024
No
AF0294
HSBC BANK PLC
Type 4: advising on securities
12 Apr 2022 - 13 Jun 2024
No
AF0294
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
08 Apr 2022 - 13 Jun 2024
No
AF0294
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
08 Apr 2022 - 13 Jun 2024
No
AF0294
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
29 Sep 2021 - 13 Jun 2024
No
AF0294
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
29 Sep 2021 - 13 Jun 2024
No
AF0294
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
08 Mar 2011 - 18 Mar 2015
No
AF0294
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
08 Mar 2011 - 18 Mar 2015
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.