Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
STEPHAN, RICHARD DEAN
Chinese Name of Relevant Individual
HKMA Registration Number
AF8475
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
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2013 - 29 Jun 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2013 - 29 Jun 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2013 - 17 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Aug 2013 - 17 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Dec 2012 - 14 Aug 2013
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2012 - 14 Aug 2013
Is an Executive Officer? (Yes / No)
Yes
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
STEPHAN, RICHARD DEAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8475
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8475
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
18 Oct 2013 - 29 Jun 2014
Yes
AF8475
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
18 Oct 2013 - 29 Jun 2014
Yes
AF8475
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
15 Aug 2013 - 17 Oct 2013
No
AF8475
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
15 Aug 2013 - 17 Oct 2013
No
AF8475
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
19 Dec 2012 - 14 Aug 2013
Yes
AF8475
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
19 Dec 2012 - 14 Aug 2013
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.