Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PHILLIPS, DUNCAN EDWARD
Chinese Name of Relevant Individual
HKMA Registration Number
AF1210
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2011 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2011 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2011 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jan 2016 - 30 Oct 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Jan 2016 - 30 Oct 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2011 - 28 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 May 2011 - 28 Jan 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
PHILLIPS, DUNCAN EDWARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF1210
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1210
CITIBANK, N.A.
Type 1: dealing in securities
17 May 2011 - 31 Oct 2016
No
AF1210
CITIBANK, N.A.
Type 4: advising on securities
17 May 2011 - 31 Oct 2016
No
AF1210
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
17 May 2011 - 31 Oct 2016
No
AF1210
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Jan 2016 - 30 Oct 2016
Yes
AF1210
CITICORP INTERNATIONAL LIMITED
Type 6: advising on corporate finance
29 Jan 2016 - 30 Oct 2016
Yes
AF1210
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
17 May 2011 - 28 Jan 2016
No
AF1210
CITICORP INTERNATIONAL LIMITED
Type 6: advising on corporate finance
17 May 2011 - 28 Jan 2016
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.