Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AGARWAL, ARVIND
Chinese Name of Relevant Individual
HKMA Registration Number
AG3505
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Dec 2017 - 03 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
24 May 2014 - 03 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
24 May 2014 - 03 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 May 2014 - 03 May 2018
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
AGARWAL, ARVIND
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3505
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3505
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
05 Dec 2017 - 03 May 2018
No
AG3505
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 May 2014 - 03 May 2018
No
AG3505
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
24 May 2014 - 03 May 2018
No
AG3505
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
24 May 2014 - 03 May 2018
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.