Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DALTON, JOHN RICHARD FYLES
Chinese Name of Relevant Individual
HKMA Registration Number
AH9985
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
16 Oct 2019 - 18 Oct 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
16 Oct 2019 - 18 Oct 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
18 Sep 2019 - 19 Sep 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
18 Sep 2019 - 19 Sep 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
09 Jul 2019 - 10 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
09 Jul 2019 - 10 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
11 Jun 2019 - 13 Jun 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
11 Jun 2019 - 13 Jun 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
16 May 2019 - 17 May 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
16 May 2019 - 17 May 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
18 Feb 2019 - 21 Feb 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
18 Feb 2019 - 21 Feb 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
20 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
20 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 - 18 Nov 2018
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
DALTON, JOHN RICHARD FYLES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH9985
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
16 Oct 2019 - 18 Oct 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
16 Oct 2019 - 18 Oct 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
18 Sep 2019 - 19 Sep 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
18 Sep 2019 - 19 Sep 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
09 Jul 2019 - 10 Jul 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
09 Jul 2019 - 10 Jul 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
11 Jun 2019 - 13 Jun 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
11 Jun 2019 - 13 Jun 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
16 May 2019 - 17 May 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
16 May 2019 - 17 May 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
18 Feb 2019 - 21 Feb 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
18 Feb 2019 - 21 Feb 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
20 Jan 2019 - 23 Jan 2019
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
20 Jan 2019 - 23 Jan 2019
No
AH9985
NATWEST MARKETS PLC
Type 1: dealing in securities
13 Nov 2018 - 18 Nov 2018
No
AH9985
NATWEST MARKETS PLC
Type 4: advising on securities
13 Nov 2018 - 18 Nov 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.