Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
AWASTHI, SAURABH KUMAR
Chinese Name of Relevant Individual

HKMA Registration Number
AJ0860
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
13 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
13 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
AWASTHI, SAURABH KUMAR
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ0860
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Nov 2022
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
13 Jun 2026
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Nov 2022
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
13 Jun 2026
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR