Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SARKAR, SOUMYA
Chinese Name of Relevant Individual
HKMA Registration Number
AH5132
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
29 Jul 2019 - 30 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
29 Jul 2019 - 30 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
06 Jul 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
06 Jul 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
10 Jul 2017 - 12 Jul 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
10 Jul 2017 - 12 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
SARKAR, SOUMYA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH5132
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5132
NATWEST MARKETS PLC
Type 1: dealing in securities
29 Jul 2019 - 30 Jul 2019
No
AH5132
NATWEST MARKETS PLC
Type 4: advising on securities
29 Jul 2019 - 30 Jul 2019
No
AH5132
NATWEST MARKETS PLC
Type 1: dealing in securities
06 Jul 2018
No
AH5132
NATWEST MARKETS PLC
Type 4: advising on securities
06 Jul 2018
No
AH5132
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
10 Jul 2017 - 12 Jul 2017
No
AH5132
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
10 Jul 2017 - 12 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.