Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
TATHGIR, SHIVPREET
Chinese Name of Relevant Individual

HKMA Registration Number
AJ9108
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
FICC SALES
Remarks
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
FICC SALES
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
TATHGIR, SHIVPREET
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ9108
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Mar 2026
No
FICC SALES
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Mar 2026
No
FICC SALES