Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WOTTON, ADAM
Chinese Name of Relevant Individual
HKMA Registration Number
AH3874
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2019 - 31 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jul 2019 - 31 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Jul 2019 - 31 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2017 - 03 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Feb 2017 - 03 May 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
WOTTON, ADAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH3874
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3874
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Jul 2019 - 31 Dec 2020
No
AH3874
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Jul 2019 - 31 Dec 2020
No
AH3874
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
12 Jul 2019 - 31 Dec 2020
No
AH3874
COÖPERATIEVE RABOBANK U.A.
Type 1: dealing in securities
13 Feb 2017 - 03 May 2019
No
AH3874
COÖPERATIEVE RABOBANK U.A.
Type 6: advising on corporate finance
13 Feb 2017 - 03 May 2019
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.