Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

BACON, ROGER SEWELL

Chinese Name of Relevant Individual

HKMA Registration Number

AF4212

Current Registration

Not Applicable

Business Address

Conditions

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

12 Jan 2012 - 28 Jan 2025

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 4: advising on securities

Effective Period

12 Jan 2012 - 28 Jan 2025

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 9: asset management

Effective Period

12 Jan 2012 - 28 Jan 2025

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

23 Dec 2011 - 28 Jan 2025

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

CITICORP INTERNATIONAL LIMITED

Regulated Activity

Type 4: advising on securities

Effective Period

23 Dec 2011 - 28 Jan 2025

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 1: dealing in securities

Effective Period

21 Dec 2011 - 11 Jan 2012

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

21 Dec 2011 - 11 Jan 2012

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 9: asset management

Effective Period

21 Dec 2011 - 11 Jan 2012

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

21 Dec 2011 - 22 Dec 2011

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

21 Dec 2011 - 22 Dec 2011

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

BACON, ROGER SEWELL

:

Chinese Name of Relevant Individual

:

HKMA Registration Number

AF4212

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AF4212

CITIBANK, N.A.

Type 1: dealing in securities

12 Jan 2012 - 28 Jan 2025

Yes

AF4212

CITIBANK, N.A.

Type 4: advising on securities

12 Jan 2012 - 28 Jan 2025

Yes

AF4212

CITIBANK, N.A.

Type 9: asset management

12 Jan 2012 - 28 Jan 2025

Yes

AF4212

CITICORP INTERNATIONAL LIMITED

Type 1: dealing in securities

23 Dec 2011 - 28 Jan 2025

Yes

AF4212

CITICORP INTERNATIONAL LIMITED

Type 4: advising on securities

23 Dec 2011 - 28 Jan 2025

Yes

AF4212

CITIBANK, N.A.

Type 1: dealing in securities

21 Dec 2011 - 11 Jan 2012

No

AF4212

CITIBANK, N.A.

Type 4: advising on securities

21 Dec 2011 - 11 Jan 2012

No

AF4212

CITIBANK, N.A.

Type 9: asset management

21 Dec 2011 - 11 Jan 2012

No

AF4212

CITICORP INTERNATIONAL LIMITED

Type 1: dealing in securities

21 Dec 2011 - 22 Dec 2011

No

AF4212

CITICORP INTERNATIONAL LIMITED

Type 4: advising on securities

21 Dec 2011 - 22 Dec 2011

No