Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, YUK MING PHONDA
Chinese Name of Relevant Individual
陳玉明
HKMA Registration Number
AA1230
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Oct 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
COMMERCIAL HEAD
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Oct 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
COMMERCIAL HEAD
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2025 - 17 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2025 - 17 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2021 - 22 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2018 - 22 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
06 Jun 2017 - 04 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
06 Jun 2017 - 04 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2017 - 04 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2017 - 04 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2012 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2012 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
21 May 2012 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2010 - 20 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Mar 2010 - 20 May 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 23
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
CHAN, YUK MING PHONDA
:
Chinese Name of Relevant Individual
陳玉明
:
HKMA Registration Number
AA1230
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
18 Oct 2025
Yes
COMMERCIAL HEAD
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
18 Oct 2025
Yes
COMMERCIAL HEAD
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1230
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 18 Dec 2025
Yes
AA1230
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 18 Dec 2025
Yes
AA1230
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
18 Oct 2025 - 17 Dec 2025
No
AA1230
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
18 Oct 2025 - 17 Dec 2025
No
AA1230
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
01 Apr 2021 - 22 Aug 2025
No
AA1230
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
13 Jul 2018 - 22 Aug 2025
No
AA1230
LGT BANK AG
Type 2: dealing in futures contracts
06 Jun 2017 - 04 Jul 2018
No
AA1230
LGT BANK AG
Type 5: advising on futures contracts
06 Jun 2017 - 04 Jul 2018
No
AA1230
LGT BANK AG
Type 1: dealing in securities
01 May 2017 - 04 Jul 2018
No
AA1230
LGT BANK AG
Type 4: advising on securities
01 May 2017 - 04 Jul 2018
No
AA1230
ABN AMRO BANK N.V.
Type 1: dealing in securities
21 May 2012 - 30 Apr 2017
Yes
AA1230
ABN AMRO BANK N.V.
Type 4: advising on securities
21 May 2012 - 30 Apr 2017
Yes
AA1230
ABN AMRO BANK N.V.
Type 9: asset management
21 May 2012 - 30 Apr 2017
Yes
AA1230
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Mar 2010 - 20 May 2012
No
AA1230
ABN AMRO BANK N.V.
Type 4: advising on securities
24 Mar 2010 - 20 May 2012
No
AA1230
ABN AMRO BANK N.V.
Type 9: asset management
24 Mar 2010 - 20 May 2012
No
AA1230
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
14 Feb 2009 - 31 Mar 2010
No
AA1230
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
11 Oct 2004 - 31 Mar 2010
No
AA1230
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
11 Oct 2004 - 31 Mar 2010
No
AA1230
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 05 Oct 2004
No
AA1230
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 05 Oct 2004
No
AA1230
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 05 Oct 2004
No
AA1230
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
01 Apr 2003 - 05 Oct 2004
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.