Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOHIA, SUSHIR
Chinese Name of Relevant Individual
HKMA Registration Number
AH0054
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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2019 - 30 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
28 Aug 2019 - 30 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
24 May 2019 - 29 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 May 2019 - 29 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jan 2019 - 30 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Jan 2019 - 30 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Sep 2018 - 21 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Sep 2018 - 21 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2018 - 05 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Jun 2018 - 05 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Apr 2018 - 18 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
16 Apr 2018 - 18 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jan 2018 - 18 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Jan 2018 - 18 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Nov 2017 - 22 Nov 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 28
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
LOHIA, SUSHIR
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0054
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
28 Aug 2019 - 30 Aug 2019
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
28 Aug 2019 - 30 Aug 2019
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
24 May 2019 - 29 May 2019
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
24 May 2019 - 29 May 2019
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
25 Jan 2019 - 30 Jan 2019
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
25 Jan 2019 - 30 Jan 2019
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
17 Sep 2018 - 21 Sep 2018
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
17 Sep 2018 - 21 Sep 2018
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
29 Jun 2018 - 05 Jul 2018
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
29 Jun 2018 - 05 Jul 2018
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
16 Apr 2018 - 18 Apr 2018
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
16 Apr 2018 - 18 Apr 2018
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Jan 2018 - 18 Jan 2018
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
15 Jan 2018 - 18 Jan 2018
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
20 Nov 2017 - 22 Nov 2017
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
20 Nov 2017 - 22 Nov 2017
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
05 May 2017 - 10 May 2017
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
05 May 2017 - 10 May 2017
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
20 Mar 2017 - 21 Mar 2017
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
20 Mar 2017 - 21 Mar 2017
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
10 May 2016 - 13 May 2016
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
10 May 2016 - 13 May 2016
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
18 Apr 2016 - 20 Apr 2016
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
18 Apr 2016 - 20 Apr 2016
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
27 Jan 2016 - 29 Jan 2016
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
27 Jan 2016 - 29 Jan 2016
No
AH0054
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Dec 2015 - 16 Dec 2015
No
AH0054
BARCLAYS BANK PLC
Type 6: advising on corporate finance
14 Dec 2015 - 16 Dec 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.