Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
STEPHENS, JOHN WILLIAM
Chinese Name of Relevant Individual
HKMA Registration Number
AF6866
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
24 Sep 2013 - 03 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2012 - 12 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2012 - 12 Nov 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
STEPHENS, JOHN WILLIAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6866
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6866
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
24 Sep 2013 - 03 Dec 2019
No
AF6866
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
15 Aug 2012 - 12 Nov 2012
No
AF6866
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
15 Aug 2012 - 12 Nov 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.