Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BARKER, RICHARD DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AH1601
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
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Mar 2018 - 27 Oct 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
29 Mar 2018 - 27 Oct 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 May 2016 - 12 Apr 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 May 2016 - 12 Apr 2018
Is an Executive Officer? (Yes / No)
Yes
Records: 1-4 of 4
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
BARKER, RICHARD DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1601
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1601
HSBC BANK PLC
Type 1: dealing in securities
29 Mar 2018 - 27 Oct 2021
Yes
AH1601
HSBC BANK PLC
Type 4: advising on securities
29 Mar 2018 - 27 Oct 2021
Yes
AH1601
HSBC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
20 May 2016 - 12 Apr 2018
Yes
AH1601
HSBC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
20 May 2016 - 12 Apr 2018
Yes
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.