Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BREGMAN, GARTH SHANE
Chinese Name of Relevant Individual
HKMA Registration Number
AF6409
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
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2016 - 16 Feb 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 9: asset management
Effective Period
22 Sep 2016 - 16 Feb 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jun 2012 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 9: asset management
Effective Period
27 Jun 2012 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
Yes
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
BREGMAN, GARTH SHANE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6409
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6409
BNP PARIBAS
Type 4: advising on securities
22 Sep 2016 - 16 Feb 2024
Yes
AF6409
BNP PARIBAS
Type 9: asset management
22 Sep 2016 - 16 Feb 2024
Yes
AF6409
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
27 Jun 2012 - 30 Sep 2016
Yes
AF6409
BNP PARIBAS WEALTH MANAGEMENT
Type 9: asset management
27 Jun 2012 - 30 Sep 2016
Yes
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.