Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHAH, HARSHIT
Chinese Name of Relevant Individual
HKMA Registration Number
AH4165
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
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2019 - 23 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2019 - 23 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2018 - 16 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2018 - 16 Nov 2018
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
15 Mar 2018 - 16 Mar 2018
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
15 Mar 2018 - 16 Mar 2018
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
01 Feb 2018 - 02 Feb 2018
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
01 Feb 2018 - 02 Feb 2018
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
22 Nov 2017 - 24 Nov 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
22 Nov 2017 - 24 Nov 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
30 Oct 2017 - 03 Nov 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
30 Oct 2017 - 03 Nov 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
14 Mar 2017 - 16 Mar 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
SHAH, HARSHIT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH4165
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4165
NATWEST MARKETS PLC
Type 1: dealing in securities
02 Jul 2019
No
AH4165
NATWEST MARKETS PLC
Type 4: advising on securities
02 Jul 2019
No
AH4165
NATWEST MARKETS PLC
Type 1: dealing in securities
21 Jan 2019 - 23 Jan 2019
No
AH4165
NATWEST MARKETS PLC
Type 4: advising on securities
21 Jan 2019 - 23 Jan 2019
No
AH4165
NATWEST MARKETS PLC
Type 1: dealing in securities
13 Nov 2018 - 16 Nov 2018
No
AH4165
NATWEST MARKETS PLC
Type 4: advising on securities
13 Nov 2018 - 16 Nov 2018
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
15 Mar 2018 - 16 Mar 2018
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
15 Mar 2018 - 16 Mar 2018
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
01 Feb 2018 - 02 Feb 2018
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
01 Feb 2018 - 02 Feb 2018
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
22 Nov 2017 - 24 Nov 2017
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
22 Nov 2017 - 24 Nov 2017
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
30 Oct 2017 - 03 Nov 2017
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
30 Oct 2017 - 03 Nov 2017
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
14 Mar 2017 - 16 Mar 2017
No
AH4165
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
14 Mar 2017 - 16 Mar 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.