Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROBERTS, JAMES NIGEL SCOTT
Chinese Name of Relevant Individual
HKMA Registration Number
AG3449
Other HKMA Registration Number(s)
AF1826
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Sep 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR (MARKETS)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BARCLAYS BANK PLC
SFC CE number
AAJ160
Business Address
41/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL, HONG KONG.
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
Since 27 Oct 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2017 - 26 Oct 2020
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
26 Jun 2017 - 30 Jun 2017
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
18 May 2017 - 19 May 2017
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
24 Mar 2017 - 29 Mar 2017
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
17 Feb 2017 - 24 Feb 2017
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 Dec 2016 - 11 Dec 2016
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
26 Feb 2016 - 05 Mar 2016
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 2015 - 10 Jul 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
30 Jun 2015 - 03 Jul 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
31 Mar 2015 - 07 Apr 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
31 Jul 2014 - 01 Aug 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
20 May 2014 - 31 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2011 - 02 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2011 - 02 Apr 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
ROBERTS, JAMES NIGEL SCOTT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3449
:
Other HKMA Registration Number(s)
AF1826
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BARCLAYS BANK PLC
Type 1: dealing in securities
11 Sep 2017
Yes
MANAGING DIRECTOR (MARKETS)
Name of Registered Institution
SFC CE number
Business Address
BARCLAYS BANK PLC
AAJ160
41/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
Since 27 Oct 2020
Yes
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
11 Sep 2017 - 26 Oct 2020
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
26 Jun 2017 - 30 Jun 2017
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
18 May 2017 - 19 May 2017
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
24 Mar 2017 - 29 Mar 2017
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
17 Feb 2017 - 24 Feb 2017
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
07 Dec 2016 - 11 Dec 2016
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
26 Feb 2016 - 05 Mar 2016
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
09 Jul 2015 - 10 Jul 2015
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
30 Jun 2015 - 03 Jul 2015
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
31 Mar 2015 - 07 Apr 2015
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
31 Jul 2014 - 01 Aug 2014
No
AG3449
BARCLAYS BANK PLC
Type 1: dealing in securities
20 May 2014 - 31 May 2014
No
AF1826
STANDARD BANK PLC
Type 1: dealing in securities
01 Aug 2011 - 02 Apr 2012
No
AF1826
STANDARD BANK PLC
Type 4: advising on securities
01 Aug 2011 - 02 Apr 2012
No
AF1826
STANDARD BANK ASIA LIMITED
Type 1: dealing in securities
05 Jul 2011 - 07 Sep 2011
No
AF1826
STANDARD BANK ASIA LIMITED
Type 4: advising on securities
05 Jul 2011 - 07 Sep 2011
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.