Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HORROCKS-TAYLOR, RICHARD JOSEPH
Chinese Name of Relevant Individual
HKMA Registration Number
AH5111
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 6: advising on corporate finance
Effective Period
17 Jul 2025 - 18 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2024 - 15 Aug 2024
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
14 Aug 2024 - 15 Aug 2024
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
14 Aug 2024 - 15 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2017 - 07 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Jul 2017 - 07 Jul 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
HORROCKS-TAYLOR, RICHARD JOSEPH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH5111
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Jul 2025 - 18 Jul 2025
No
AH5111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Aug 2024 - 15 Aug 2024
No
AH5111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Aug 2024 - 15 Aug 2024
No
AH5111
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
14 Aug 2024 - 15 Aug 2024
No
AH5111
ROYAL BANK OF CANADA
Type 1: dealing in securities
06 Jul 2017 - 07 Jul 2017
No
AH5111
ROYAL BANK OF CANADA
Type 6: advising on corporate finance
06 Jul 2017 - 07 Jul 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.