Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MCCORMICK, JAMES MICHAEL
Chinese Name of Relevant Individual
HKMA Registration Number
AG2685
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
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2019
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
19 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jan 2018
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
28 Feb 2014 - 03 Mar 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
MCCORMICK, JAMES MICHAEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG2685
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2685
NATWEST MARKETS PLC
Type 1: dealing in securities
16 Sep 2019
No
AG2685
NATWEST MARKETS PLC
Type 4: advising on securities
16 Sep 2019
No
AG2685
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
19 Jan 2018
No
AG2685
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
19 Jan 2018
No
AG2685
BARCLAYS BANK PLC
Type 4: advising on securities
28 Feb 2014 - 03 Mar 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.