Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOCK, DAVID JOHN
Chinese Name of Relevant Individual
HKMA Registration Number
AG3999
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jun 2018 - 20 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jul 2017 - 20 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2016 - 14 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jul 2014 - 09 Jul 2014
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
LOCK, DAVID JOHN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3999
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3999
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
15 Jun 2018 - 20 Jun 2018
No
AG3999
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
19 Jul 2017 - 20 Jul 2017
No
AG3999
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
13 Apr 2016 - 14 Apr 2016
No
AG3999
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
08 Jul 2014 - 09 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.