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Register of Securities Staff of AIs



The Register of Securities Staff of AIs is a database of current and former relevant individuals, i.e. current and former staff of authorized institutions engaging in securities business and/or other regulated activities, as defined under the Securities and Futures Ordinance, in Hong Kong (See "Supervisory Policy Manual SB-1 Supervision of regulated activities of SFC-registered authorized institutions" posted on the HKMA website for further information).

It is a statutory condition of registration that authorized institutions must ensure that their relevant individuals are fit and proper to be so engaged.  Pursuant to section 20(4A) of the Banking Ordinance, the purposes of this Register are to enable any member of the public to ascertain whether he is dealing with a fit and proper person in relation to any regulated activity and to ascertain the registration particulars of such persons.

As required by the Personal Data (Privacy) Ordinance, you may only use the information provided in this Register for the specified purposes as set out above.

The HKMA Register contains, among other things, records of public disciplinary actions (if any) taken by the SFC and/or the HKMA against relevant individuals.  Such records are kept in the Register for a period of 5 years from the date when the disciplinary action takes effect.

By publishing this Register, the HKMA does not guarantee the performance or creditworthiness of any relevant individual or authorized institution.

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