Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BAGGOTT, IAN
Chinese Name of Relevant Individual
HKMA Registration Number
AI2371
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Aug 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GREATER CHINA AND HEAD OF MARKETS, ASIA
Remarks
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
02 Aug 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GREATER CHINA AND HEAD OF MARKETS, ASIA
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
COÖPERATIEVE RABOBANK U.A.
SFC CE number
ADB883
Business Address
13/F, ONE PACIFIC PLACE, 88 QUEENSWAY, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Effective Date
19 Feb 2021
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Effective Date
19 Feb 2021
Description
For Type 1 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of COÖPERATIEVE RABOBANK U.A. not subject to a similar condition.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Feb 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 19 Feb 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2019 - 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COÖPERATIEVE RABOBANK U.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Aug 2019 - 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
BAGGOTT, IAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI2371
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
COÖPERATIEVE RABOBANK U.A.
Type 1: dealing in securities
02 Aug 2019
Yes
GENERAL MANAGER, GREATER CHINA AND HEAD OF MARKETS, ASIA
COÖPERATIEVE RABOBANK U.A.
Type 6: advising on corporate finance
02 Aug 2019
Yes
GENERAL MANAGER, GREATER CHINA AND HEAD OF MARKETS, ASIA
Name of Registered Institution
SFC CE number
Business Address
COÖPERATIEVE RABOBANK U.A.
ADB883
13/F, ONE PACIFIC PLACE, 88 QUEENSWAY, HONG KONG
Registered Institution
Effective Date
Description
COÖPERATIEVE RABOBANK U.A.
1
19 Feb 2021
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
COÖPERATIEVE RABOBANK U.A.
2
19 Feb 2021
For Type 1 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of COÖPERATIEVE RABOBANK U.A. not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2371
COÖPERATIEVE RABOBANK U.A.
Type 1: dealing in securities
Since 19 Feb 2021
Yes
AI2371
COÖPERATIEVE RABOBANK U.A.
Type 6: advising on corporate finance
Since 19 Feb 2021
Yes
AI2371
COÖPERATIEVE RABOBANK U.A.
Type 1: dealing in securities
02 Aug 2019 - 18 Feb 2021
No
AI2371
COÖPERATIEVE RABOBANK U.A.
Type 6: advising on corporate finance
02 Aug 2019 - 18 Feb 2021
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.