Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GIFFORD, RICHARD JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AF8508
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2014 - 07 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2014 - 07 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2013 - 31 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2013 - 31 Aug 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
GIFFORD, RICHARD JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8508
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8508
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Sep 2014 - 07 Aug 2020
No
AF8508
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Sep 2014 - 07 Aug 2020
No
AF8508
HSBC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Jan 2013 - 31 Aug 2014
No
AF8508
HSBC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
01 Jan 2013 - 31 Aug 2014
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.