Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHARMA, GAURAV
Chinese Name of Relevant Individual
HKMA Registration Number
AI0927
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 1: dealing in securities
Effective Period
27 Feb 2024 - 29 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Feb 2024 - 29 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jan 2020 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Jan 2020 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2019 - 26 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Feb 2019 - 26 Feb 2019
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
SHARMA, GAURAV
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI0927
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0927
BARCLAYS BANK PLC
Type 1: dealing in securities
27 Feb 2024 - 29 Feb 2024
No
AI0927
BARCLAYS BANK PLC
Type 6: advising on corporate finance
27 Feb 2024 - 29 Feb 2024
No
AI0927
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Jan 2020 - 15 Jan 2020
No
AI0927
BARCLAYS BANK PLC
Type 6: advising on corporate finance
14 Jan 2020 - 15 Jan 2020
No
AI0927
BARCLAYS BANK PLC
Type 1: dealing in securities
25 Feb 2019 - 26 Feb 2019
No
AI0927
BARCLAYS BANK PLC
Type 6: advising on corporate finance
25 Feb 2019 - 26 Feb 2019
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.