Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
THAKKAR, NILESHKUMAR DAHYALAL
Chinese Name of Relevant Individual
HKMA Registration Number
AF9480
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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2015 - 16 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
15 Nov 2015 - 16 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2015 - 11 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
10 Aug 2015 - 11 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2014 - 06 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2014 - 06 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2014 - 15 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2014 - 15 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2013 - 26 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2013 - 26 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2013 - 11 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2013 - 11 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
07 May 2013 - 09 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
07 May 2013 - 09 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Apr 2013 - 19 Apr 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
THAKKAR, NILESHKUMAR DAHYALAL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9480
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Nov 2015 - 16 Nov 2015
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
15 Nov 2015 - 16 Nov 2015
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
10 Aug 2015 - 11 Aug 2015
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
10 Aug 2015 - 11 Aug 2015
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
03 Dec 2014 - 06 Dec 2014
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
03 Dec 2014 - 06 Dec 2014
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
09 Mar 2014 - 15 Mar 2014
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
09 Mar 2014 - 15 Mar 2014
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
23 Oct 2013 - 26 Oct 2013
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
23 Oct 2013 - 26 Oct 2013
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
09 Jul 2013 - 11 Jul 2013
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
09 Jul 2013 - 11 Jul 2013
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
07 May 2013 - 09 May 2013
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
07 May 2013 - 09 May 2013
No
AF9480
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Apr 2013 - 19 Apr 2013
No
AF9480
BARCLAYS BANK PLC
Type 4: advising on securities
14 Apr 2013 - 19 Apr 2013
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.