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 purpose of this Register is to enable any member of the public to ascertain whether a person he is dealing with is a relevant individual in relation to a registered institution, and if so, to ascertain the registration particulars of such person.

You may only use the information provided in this Register for the specified purpose as set out above, and use for any other purpose is prohibited. Pursuant to the requirements under the Personal Data (Privacy) Ordinance, any use of the personal data on this Register for purposes other than the above-mentioned purpose requires the express consent given voluntarily by the individuals who are the subjects of the data.

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.

By clicking ‘Continue’, you acknowledge that you have read and understood the above notification, and that you will use the information in this Register for the specified purpose only.