Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAZAWA, JUNICHI
Chinese Name of Relevant Individual
HKMA Registration Number
AF5985
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
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
13 May 2014 - 17 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jan 2014 - 29 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2013 - 24 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
05 Feb 2013 - 06 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Aug 2012 - 22 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
18 May 2012 - 25 May 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
TAZAWA, JUNICHI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF5985
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5985
BARCLAYS BANK PLC
Type 4: advising on securities
13 May 2014 - 17 May 2014
No
AF5985
BARCLAYS BANK PLC
Type 4: advising on securities
27 Jan 2014 - 29 Jan 2014
No
AF5985
BARCLAYS BANK PLC
Type 4: advising on securities
22 May 2013 - 24 May 2013
No
AF5985
BARCLAYS BANK PLC
Type 4: advising on securities
05 Feb 2013 - 06 Feb 2013
No
AF5985
BARCLAYS BANK PLC
Type 4: advising on securities
21 Aug 2012 - 22 Aug 2012
No
AF5985
BARCLAYS BANK PLC
Type 4: advising on securities
18 May 2012 - 25 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.