Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, WAI TSZ, TERESA
Chinese Name of Relevant Individual
HKMA Registration Number
AA1292
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2007 - 23 Feb 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Nov 2007 - 23 Feb 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2005 - 30 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2005 - 30 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2003 - 30 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Sep 2003 - 30 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 06 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BA ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BA ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, WAI TSZ, TERESA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AA1292
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1292
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
03 Nov 2007 - 23 Feb 2008
No
AA1292
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
03 Nov 2007 - 23 Feb 2008
No
AA1292
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Jun 2005 - 30 Oct 2007
No
AA1292
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Jun 2005 - 30 Oct 2007
No
AA1292
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
11 Sep 2003 - 30 Oct 2007
No
AA1292
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
11 Sep 2003 - 30 Oct 2007
No
AA1292
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
01 Apr 2003 - 06 Jan 2004
No
AA1292
BA ASIA LIMITED
Type 1: dealing in securities
09 Sep 2003
No
AA1292
BA ASIA LIMITED
Type 4: advising on securities
09 Sep 2003
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.