Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HARWARD, ANDREW BLAKE
Chinese Name of Relevant Individual
HKMA Registration Number
AF3767
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 Jul 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE FINANCE NORTH ASIA
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Jul 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE FINANCE NORTH ASIA
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
10 Oct 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE FINANCE NORTH ASIA
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
SFC CE number
AAL483
Business Address
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Effective Date
05 Dec 2023
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Effective Date
05 Dec 2023
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
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
Since 05 Dec 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Dec 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 05 Dec 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Oct 2020 - 04 Dec 2023
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
31 Jul 2012 - 04 Dec 2023
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
31 Jul 2012 - 04 Dec 2023
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
11 Nov 2011 - 10 May 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
11 Nov 2011 - 10 May 2012
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
HARWARD, ANDREW BLAKE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3767
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
31 Jul 2012
Yes
HEAD OF CORPORATE FINANCE NORTH ASIA
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
31 Jul 2012
Yes
HEAD OF CORPORATE FINANCE NORTH ASIA
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
10 Oct 2020
Yes
HEAD OF CORPORATE FINANCE NORTH ASIA
Name of Registered Institution
SFC CE number
Business Address
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
AAL483
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
1
05 Dec 2023
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
2
05 Dec 2023
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
Since 05 Dec 2023
Yes
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
Since 05 Dec 2023
Yes
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
Since 05 Dec 2023
Yes
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
10 Oct 2020 - 04 Dec 2023
No
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
31 Jul 2012 - 04 Dec 2023
No
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
31 Jul 2012 - 04 Dec 2023
No
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
11 Nov 2011 - 10 May 2012
No
AF3767
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
11 Nov 2011 - 10 May 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.