Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SWERLING, THOMAS ARTHUR
Chinese Name of Relevant Individual
HKMA Registration Number
AH1393
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
14 Jan 2020 - 16 Jan 2020
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
14 Jan 2020 - 16 Jan 2020
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 Aug 2018 - 17 Aug 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 Aug 2018 - 17 Aug 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
19 May 2016 - 20 May 2016
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
19 May 2016 - 20 May 2016
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
28 Apr 2016 - 04 May 2016
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 Apr 2016 - 04 May 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
SWERLING, THOMAS ARTHUR
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1393
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1393
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Jan 2020 - 16 Jan 2020
No
AH1393
BARCLAYS BANK PLC
Type 6: advising on corporate finance
14 Jan 2020 - 16 Jan 2020
No
AH1393
BARCLAYS BANK PLC
Type 1: dealing in securities
16 Aug 2018 - 17 Aug 2018
No
AH1393
BARCLAYS BANK PLC
Type 6: advising on corporate finance
16 Aug 2018 - 17 Aug 2018
No
AH1393
BARCLAYS BANK PLC
Type 1: dealing in securities
19 May 2016 - 20 May 2016
No
AH1393
BARCLAYS BANK PLC
Type 6: advising on corporate finance
19 May 2016 - 20 May 2016
No
AH1393
BARCLAYS BANK PLC
Type 1: dealing in securities
28 Apr 2016 - 04 May 2016
No
AH1393
BARCLAYS BANK PLC
Type 6: advising on corporate finance
28 Apr 2016 - 04 May 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.