Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NELSON, JAMES ALEXANDER RICHARD
Chinese Name of Relevant Individual
HKMA Registration Number
AG7351
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
03 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
03 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
03 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
12 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
12 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
12 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
22 Apr 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
22 Apr 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
22 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
NELSON, JAMES ALEXANDER RICHARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7351
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Mar 2017
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Mar 2017
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
03 Mar 2017
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 May 2016
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 May 2016
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
12 May 2016
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Apr 2015
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Apr 2015
No
AG7351
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
22 Apr 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.