Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
RATLIFF, DAVID TALMADGE
Chinese Name of Relevant Individual
HKMA Registration Number
AG9725
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
25 May 2020 - 17 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 May 2020 - 17 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2016 - 24 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jun 2016 - 24 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2015 - 07 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2015 - 07 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2015 - 07 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2015 - 07 Apr 2016
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
RATLIFF, DAVID TALMADGE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9725
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9725
BNP PARIBAS
Type 1: dealing in securities
25 May 2020 - 17 Dec 2021
Yes
AG9725
BNP PARIBAS
Type 6: advising on corporate finance
25 May 2020 - 17 Dec 2021
Yes
AG9725
BNP PARIBAS
Type 1: dealing in securities
01 Jun 2016 - 24 May 2020
No
AG9725
BNP PARIBAS
Type 6: advising on corporate finance
01 Jun 2016 - 24 May 2020
No
AG9725
CITIBANK, N.A.
Type 1: dealing in securities
13 Nov 2015 - 07 Apr 2016
No
AG9725
CITIBANK, N.A.
Type 4: advising on securities
13 Nov 2015 - 07 Apr 2016
No
AG9725
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
13 Nov 2015 - 07 Apr 2016
No
AG9725
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
13 Nov 2015 - 07 Apr 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.