Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUPTA, SHOBHIT
Chinese Name of Relevant Individual
HKMA Registration Number
AH6149
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
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2019 - 22 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
26 Oct 2018 - 31 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2017 - 26 Oct 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
GUPTA, SHOBHIT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH6149
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6149
BARCLAYS BANK PLC
Type 4: advising on securities
21 Oct 2019 - 22 Oct 2019
No
AH6149
BARCLAYS BANK PLC
Type 4: advising on securities
26 Oct 2018 - 31 Oct 2018
No
AH6149
BARCLAYS BANK PLC
Type 4: advising on securities
23 Oct 2017 - 26 Oct 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.