Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SARKAR, PALLABI
Chinese Name of Relevant Individual
HKMA Registration Number
AJ4601
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2026 - 24 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
20 Apr 2026 - 24 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Oct 2025 - 17 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
13 Oct 2025 - 17 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2024 - 28 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
25 Nov 2024 - 28 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
27 May 2024 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
27 May 2024 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SARKAR, PALLABI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ4601
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ4601
ROYAL BANK OF CANADA
Type 1: dealing in securities
20 Apr 2026 - 24 Apr 2026
No
AJ4601
ROYAL BANK OF CANADA
Type 4: advising on securities
20 Apr 2026 - 24 Apr 2026
No
AJ4601
ROYAL BANK OF CANADA
Type 1: dealing in securities
13 Oct 2025 - 17 Oct 2025
No
AJ4601
ROYAL BANK OF CANADA
Type 4: advising on securities
13 Oct 2025 - 17 Oct 2025
No
AJ4601
ROYAL BANK OF CANADA
Type 1: dealing in securities
25 Nov 2024 - 28 Nov 2024
No
AJ4601
ROYAL BANK OF CANADA
Type 4: advising on securities
25 Nov 2024 - 28 Nov 2024
No
AJ4601
ROYAL BANK OF CANADA
Type 1: dealing in securities
27 May 2024 - 31 May 2024
No
AJ4601
ROYAL BANK OF CANADA
Type 4: advising on securities
27 May 2024 - 31 May 2024
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.