Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
WHELAN, THOMAS JAMES
Chinese Name of Relevant Individual

HKMA Registration Number
AI5127
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL INSTITUTIONS GROUP
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL INSTITUTIONS GROUP
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
WHELAN, THOMAS JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI5127
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
23 Sep 2020
No
FINANCIAL INSTITUTIONS GROUP
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
23 Sep 2020
No
FINANCIAL INSTITUTIONS GROUP