Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MIRZA, SARMAD JAVAID
Chinese Name of Relevant Individual
HKMA Registration Number
AG3787
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Mar 2018 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2018 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Mar 2018 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2017 - 28 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Mar 2017 - 28 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 Mar 2017 - 28 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Feb 2017 - 28 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Feb 2017 - 28 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 Feb 2017 - 28 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2016 - 25 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2016 - 25 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 May 2016 - 25 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Nov 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 27
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
MIRZA, SARMAD JAVAID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3787
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Mar 2018 - 15 Mar 2018
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Mar 2018 - 15 Mar 2018
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
13 Mar 2018 - 15 Mar 2018
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Mar 2017 - 28 Mar 2017
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Mar 2017 - 28 Mar 2017
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
23 Mar 2017 - 28 Mar 2017
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Feb 2017 - 28 Feb 2017
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Feb 2017 - 28 Feb 2017
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
23 Feb 2017 - 28 Feb 2017
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 May 2016 - 25 May 2016
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 May 2016 - 25 May 2016
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
23 May 2016 - 25 May 2016
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Nov 2015 - 06 Nov 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Nov 2015 - 06 Nov 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Nov 2015 - 06 Nov 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Oct 2015 - 25 Oct 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Oct 2015 - 25 Oct 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
22 Oct 2015 - 25 Oct 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 May 2015 - 20 May 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 May 2015 - 20 May 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
15 May 2015 - 20 May 2015
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Sep 2014 - 10 Sep 2014
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Sep 2014 - 10 Sep 2014
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
08 Sep 2014 - 10 Sep 2014
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jun 2014 - 30 Jul 2014
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Jun 2014 - 30 Jul 2014
No
AG3787
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
20 Jun 2014 - 30 Jul 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.