Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MAXTON, ELLEN GRACE
Chinese Name of Relevant Individual
HKMA Registration Number
AH7760
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2018 - 02 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2018 - 02 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2018 - 02 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Apr 2018 - 04 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
27 Apr 2018 - 04 May 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
MAXTON, ELLEN GRACE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH7760
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7760
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
01 Aug 2018 - 02 Aug 2019
No
AH7760
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Aug 2018 - 02 Aug 2019
No
AH7760
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Aug 2018 - 02 Aug 2019
No
AH7760
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
27 Apr 2018 - 04 May 2018
No
AH7760
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
27 Apr 2018 - 04 May 2018
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.