Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JAMES, ANDREW MICHAEL RICHARD
Chinese Name of Relevant Individual
HKMA Registration Number
AG3447
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jan 2020 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jan 2020 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2019 - 15 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2019 - 15 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2019 - 27 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2019 - 27 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Feb 2019 - 21 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Feb 2019 - 21 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2018 - 14 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2018 - 14 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2018 - 02 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2018 - 02 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2018 - 14 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2018 - 14 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2018 - 14 Feb 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 34
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
JAMES, ANDREW MICHAEL RICHARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3447
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
14 Jan 2020 - 15 Jan 2020
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
14 Jan 2020 - 15 Jan 2020
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
13 Nov 2019 - 15 Nov 2019
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
13 Nov 2019 - 15 Nov 2019
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
25 Jun 2019 - 27 Jun 2019
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
25 Jun 2019 - 27 Jun 2019
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
19 Feb 2019 - 21 Feb 2019
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
19 Feb 2019 - 21 Feb 2019
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
13 Nov 2018 - 14 Nov 2018
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
13 Nov 2018 - 14 Nov 2018
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
01 Nov 2018 - 02 Nov 2018
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
01 Nov 2018 - 02 Nov 2018
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
12 Sep 2018 - 14 Sep 2018
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
12 Sep 2018 - 14 Sep 2018
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
13 Feb 2018 - 14 Feb 2018
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
13 Feb 2018 - 14 Feb 2018
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
09 Jan 2018 - 11 Jan 2018
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
09 Jan 2018 - 11 Jan 2018
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
17 Nov 2017 - 21 Nov 2017
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
17 Nov 2017 - 21 Nov 2017
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
25 Apr 2017 - 27 Apr 2017
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
25 Apr 2017 - 27 Apr 2017
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
07 Dec 2016 - 09 Dec 2016
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
07 Dec 2016 - 09 Dec 2016
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
13 Jun 2016 - 14 Jun 2016
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
13 Jun 2016 - 14 Jun 2016
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
04 Dec 2015 - 09 Dec 2015
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
04 Dec 2015 - 09 Dec 2015
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
18 Sep 2015 - 24 Sep 2015
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
18 Sep 2015 - 24 Sep 2015
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
19 May 2015 - 22 May 2015
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
19 May 2015 - 22 May 2015
No
AG3447
CITIBANK, N.A.
Type 1: dealing in securities
20 May 2014 - 22 May 2014
No
AG3447
CITIBANK, N.A.
Type 4: advising on securities
20 May 2014 - 22 May 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.