Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HICKINBOTHAM, JAMES SIMON
Chinese Name of Relevant Individual
HKMA Registration Number
AH3960
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
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2017 - 18 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2017 - 18 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2017 - 22 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Feb 2017 - 22 Feb 2017
Is an Executive Officer? (Yes / No)
No
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
HICKINBOTHAM, JAMES SIMON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH3960
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3960
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
17 May 2017 - 18 May 2017
No
AH3960
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
17 May 2017 - 18 May 2017
No
AH3960
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
21 Feb 2017 - 22 Feb 2017
No
AH3960
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
21 Feb 2017 - 22 Feb 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.