Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SENGUPTA, JOYDEEP
Chinese Name of Relevant Individual
HKMA Registration Number
AF7225
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 04 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2017 - 04 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2015 - 04 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2012 - 04 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Aug 2015 - 24 Jul 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
SENGUPTA, JOYDEEP
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF7225
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7225
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
07 Feb 2022 - 04 Jul 2023
No
AF7225
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
14 Jul 2017 - 04 Jul 2023
No
AF7225
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Aug 2015 - 04 Jul 2023
No
AF7225
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Sep 2012 - 04 Jul 2023
No
AF7225
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 Aug 2015 - 24 Jul 2022
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.