Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HERGESHEIMER, NIKLAUS CHARLES
Chinese Name of Relevant Individual
HKMA Registration Number
AG8837
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2023 - 09 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Feb 2023 - 09 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 22 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jun 2017 - 22 Nov 2022
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
22 Mar 2016 - 22 Nov 2022
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
22 Mar 2016 - 22 Nov 2022
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
22 Mar 2016 - 24 Jul 2022
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
02 Sep 2015 - 07 Mar 2016
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
02 Sep 2015 - 07 Mar 2016
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
02 Sep 2015 - 07 Mar 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
HERGESHEIMER, NIKLAUS CHARLES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8837
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8837
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Feb 2023 - 09 Feb 2024
No
AG8837
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Feb 2023 - 09 Feb 2024
No
AG8837
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
07 Feb 2022 - 22 Nov 2022
No
AG8837
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
20 Jun 2017 - 22 Nov 2022
No
AG8837
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Mar 2016 - 22 Nov 2022
No
AG8837
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Mar 2016 - 22 Nov 2022
No
AG8837
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
22 Mar 2016 - 24 Jul 2022
No
AG8837
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Sep 2015 - 07 Mar 2016
No
AG8837
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Sep 2015 - 07 Mar 2016
No
AG8837
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
02 Sep 2015 - 07 Mar 2016
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.