Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FAULKNER, JAMES WILLIAM MACANDREW
Chinese Name of Relevant Individual
HKMA Registration Number
AI2246
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
17 Dec 2021 - 06 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
17 Dec 2021 - 06 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2019 - 06 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2019 - 06 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2019 - 06 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2019 - 06 Nov 2022
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
FAULKNER, JAMES WILLIAM MACANDREW
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI2246
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2246
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
17 Dec 2021 - 06 Nov 2022
No
AI2246
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
17 Dec 2021 - 06 Nov 2022
No
AI2246
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Jul 2019 - 06 Nov 2022
No
AI2246
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Jul 2019 - 06 Nov 2022
No
AI2246
HSBC BANK PLC
Type 1: dealing in securities
24 Jul 2019 - 06 Nov 2022
No
AI2246
HSBC BANK PLC
Type 4: advising on securities
24 Jul 2019 - 06 Nov 2022
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.