Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSIM, CHIU TING
Chinese Name of Relevant Individual
詹俏婷
HKMA Registration Number
AA1400
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Nov 2013
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT LIFECYCLE MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Nov 2013
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT LIFECYCLE MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2010 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2010 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2009 - 30 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2009 - 30 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2007 - 23 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
24 Apr 2007 - 23 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Feb 2005 - 31 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2005 - 09 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2005 - 09 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 06 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 06 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
TSIM, CHIU TING
:
Chinese Name of Relevant Individual
詹俏婷
:
HKMA Registration Number
AA1400
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013
No
CLIENT LIFECYCLE MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013
No
CLIENT LIFECYCLE MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1400
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 01 Nov 2013
No
AA1400
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 01 Nov 2013
No
AA1400
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
26 Apr 2010 - 01 Nov 2013
No
AA1400
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
26 Apr 2010 - 01 Nov 2013
No
AA1400
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Aug 2009 - 30 Apr 2010
No
AA1400
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Aug 2009 - 30 Apr 2010
No
AA1400
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
24 Apr 2007 - 23 Apr 2009
No
AA1400
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
24 Apr 2007 - 23 Apr 2009
No
AA1400
UBS AG
Type 1: dealing in securities
09 Feb 2005 - 31 Mar 2007
No
AA1400
CREDIT SUISSE
Type 1: dealing in securities
05 Jan 2005 - 09 Jan 2005
No
AA1400
CREDIT SUISSE
Type 4: advising on securities
05 Jan 2005 - 09 Jan 2005
No
AA1400
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Jan 2005
No
AA1400
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Jan 2005
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.