Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOSS, SIMON PHILIP
Chinese Name of Relevant Individual
HKMA Registration Number
AF7982
Other HKMA Registration Number(s)
AE6363
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
20 Oct 2018 - 18 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2012 - 16 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Nov 2012 - 16 Apr 2014
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
10 Dec 2011 - 04 May 2012
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
08 May 2010 - 04 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
08 May 2010 - 04 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
MOSS, SIMON PHILIP
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF7982
:
Other HKMA Registration Number(s)
AE6363
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7982
BNP PARIBAS
Type 1: dealing in securities
20 Oct 2018 - 18 Feb 2022
No
AF7982
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
01 Nov 2012 - 16 Apr 2014
No
AF7982
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 6: advising on corporate finance
01 Nov 2012 - 16 Apr 2014
No
AE6363
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
10 Dec 2011 - 04 May 2012
No
AE6363
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
08 May 2010 - 04 May 2012
No
AE6363
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
08 May 2010 - 04 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.