Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAMAKAWA, TETSUFUMI
Chinese Name of Relevant Individual
HKMA Registration Number
AG1663
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 4: advising on securities
Effective Period
23 Mar 2016 - 25 Mar 2016
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
19 Jan 2015 - 20 Jan 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
05 Nov 2014 - 07 Nov 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
13 Nov 2013 - 15 Nov 2013
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
YAMAKAWA, TETSUFUMI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1663
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1663
BARCLAYS BANK PLC
Type 4: advising on securities
23 Mar 2016 - 25 Mar 2016
No
AG1663
BARCLAYS BANK PLC
Type 4: advising on securities
19 Jan 2015 - 20 Jan 2015
No
AG1663
BARCLAYS BANK PLC
Type 4: advising on securities
05 Nov 2014 - 07 Nov 2014
No
AG1663
BARCLAYS BANK PLC
Type 4: advising on securities
13 Nov 2013 - 15 Nov 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.