Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DUTTA, KAUSHIK RANJAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG6373
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
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2019 - 26 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Nov 2019 - 26 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Dec 2018 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
13 Dec 2018 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Sep 2015 - 21 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2015 - 21 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2015 - 02 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
02 Feb 2015 - 02 Aug 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
DUTTA, KAUSHIK RANJAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6373
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6373
NATWEST MARKETS PLC
Type 1: dealing in securities
21 Nov 2019 - 26 Nov 2019
No
AG6373
NATWEST MARKETS PLC
Type 4: advising on securities
21 Nov 2019 - 26 Nov 2019
No
AG6373
NATWEST MARKETS PLC
Type 1: dealing in securities
13 Dec 2018 - 14 Dec 2018
No
AG6373
NATWEST MARKETS PLC
Type 4: advising on securities
13 Dec 2018 - 14 Dec 2018
No
AG6373
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
17 Sep 2015 - 21 Jun 2017
No
AG6373
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
17 Sep 2015 - 21 Jun 2017
No
AG6373
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
02 Feb 2015 - 02 Aug 2015
No
AG6373
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
02 Feb 2015 - 02 Aug 2015
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.