Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
RICHARDS, DAVID MICHAEL
Chinese Name of Relevant Individual
HKMA Registration Number
AF3557
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
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2012 - 21 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2012 - 21 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Oct 2011 - 26 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Oct 2011 - 26 Apr 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
RICHARDS, DAVID MICHAEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3557
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3557
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
28 Jun 2012 - 21 Jul 2020
No
AF3557
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
28 Jun 2012 - 21 Jul 2020
No
AF3557
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
27 Oct 2011 - 26 Apr 2012
No
AF3557
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
27 Oct 2011 - 26 Apr 2012
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.