Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
RICHARDS, DOMINIC ANDREW
Chinese Name of Relevant Individual
HKMA Registration Number
AH3590
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2018 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Feb 2018 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Feb 2018 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Apr 2017 - 31 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2017 - 31 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jan 2017 - 31 Oct 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
RICHARDS, DOMINIC ANDREW
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH3590
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3590
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Feb 2018 - 27 Sep 2018
No
AH3590
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Feb 2018 - 27 Sep 2018
No
AH3590
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
01 Feb 2018 - 27 Sep 2018
No
AH3590
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
19 Apr 2017 - 31 Oct 2017
No
AH3590
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
12 Jan 2017 - 31 Oct 2017
No
AH3590
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
12 Jan 2017 - 31 Oct 2017
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.