Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CARIDIA, ALEXANDER
Chinese Name of Relevant Individual
HKMA Registration Number
AI0153
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2025 - 24 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
21 Nov 2025 - 24 Nov 2025
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
27 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 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
28 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2019
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
28 Oct 2019
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
29 Nov 2018 - 30 Nov 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
CARIDIA, ALEXANDER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI0153
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0153
ROYAL BANK OF CANADA
Type 1: dealing in securities
21 Nov 2025 - 24 Nov 2025
No
AI0153
ROYAL BANK OF CANADA
Type 4: advising on securities
21 Nov 2025 - 24 Nov 2025
No
AI0153
ROYAL BANK OF CANADA
Type 1: dealing in securities
27 Nov 2024
No
AI0153
ROYAL BANK OF CANADA
Type 4: advising on securities
27 Nov 2024
No
AI0153
ROYAL BANK OF CANADA
Type 1: dealing in securities
28 Oct 2019
No
AI0153
ROYAL BANK OF CANADA
Type 4: advising on securities
28 Oct 2019
No
AI0153
ROYAL BANK OF CANADA
Type 6: advising on corporate finance
28 Oct 2019
No
AI0153
ROYAL BANK OF CANADA
Type 1: dealing in securities
29 Nov 2018 - 30 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.