Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
THOLIA, GAURAV
Chinese Name of Relevant Individual
HKMA Registration Number
AF6791
Other HKMA Registration Number(s)
AF7160
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 1: dealing in securities
Effective Period
01 Sep 2025 - 04 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Feb 2025 - 27 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2023 - 23 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Feb 2017 - 24 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Oct 2016 - 21 Oct 2016
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
15 Jun 2015 - 19 Jun 2015
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
15 Jun 2015 - 19 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2014 - 07 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jul 2014 - 23 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
20 May 2014 - 23 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Feb 2014 - 21 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2013 - 15 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2013 - 19 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2013 - 14 Jun 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 22
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
THOLIA, GAURAV
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6791
:
Other HKMA Registration Number(s)
AF7160
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7160
BNP PARIBAS
Type 1: dealing in securities
01 Sep 2025 - 04 Sep 2025
No
AF7160
BNP PARIBAS
Type 1: dealing in securities
24 Feb 2025 - 27 Feb 2025
No
AF7160
BNP PARIBAS
Type 1: dealing in securities
20 Feb 2023 - 23 Feb 2023
No
AF7160
BNP PARIBAS
Type 1: dealing in securities
17 Feb 2017 - 24 Feb 2017
No
AF7160
BNP PARIBAS
Type 1: dealing in securities
20 Jan 2017
No
AF7160
BNP PARIBAS
Type 1: dealing in securities
14 Oct 2016 - 21 Oct 2016
No
AF7160
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
15 Jun 2015 - 19 Jun 2015
No
AF7160
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
15 Jun 2015 - 19 Jun 2015
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
05 Nov 2014 - 07 Nov 2014
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
22 Jul 2014 - 23 Jul 2014
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
20 May 2014 - 23 May 2014
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
17 Feb 2014 - 21 Feb 2014
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
11 Nov 2013 - 15 Nov 2013
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
16 Sep 2013 - 19 Sep 2013
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
10 Jun 2013 - 14 Jun 2013
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
23 Apr 2013 - 26 Apr 2013
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
26 Mar 2013 - 29 Mar 2013
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
28 Jan 2013 - 01 Feb 2013
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
25 Nov 2012 - 29 Nov 2012
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
04 Nov 2012 - 07 Nov 2012
No
AF7160
BARCLAYS BANK PLC
Type 1: dealing in securities
03 Sep 2012 - 06 Sep 2012
No
AF6791
BARCLAYS BANK PLC
Type 1: dealing in securities
07 Aug 2012 - 10 Aug 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.