Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHU, KA MAN
Chinese Name of Relevant Individual
朱加民
HKMA Registration Number
AA1733
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Mar 2023 - 25 Apr 2024
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
10 Mar 2023 - 25 Apr 2024
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
11 Dec 2020 - 06 Jan 2023
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
11 Dec 2020 - 06 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2020 - 06 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Dec 2020 - 06 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2017 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2017 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2014 - 25 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2014 - 25 Jun 2017
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
07 May 2013 - 21 Apr 2014
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
07 May 2013 - 21 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
07 May 2013 - 21 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Apr 2010 - 06 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Apr 2010 - 06 May 2013
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
CHU, KA MAN
:
Chinese Name of Relevant Individual
朱加民
:
HKMA Registration Number
AA1733
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1733
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Mar 2023 - 25 Apr 2024
No
AA1733
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Mar 2023 - 25 Apr 2024
No
AA1733
CITIBANK, N.A.
Type 1: dealing in securities
11 Dec 2020 - 06 Jan 2023
No
AA1733
CITIBANK, N.A.
Type 4: advising on securities
11 Dec 2020 - 06 Jan 2023
No
AA1733
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Dec 2020 - 06 Jan 2023
No
AA1733
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
11 Dec 2020 - 06 Jan 2023
No
AA1733
UBS AG
Type 1: dealing in securities
25 Aug 2017 - 15 Jan 2020
No
AA1733
UBS AG
Type 4: advising on securities
25 Aug 2017 - 15 Jan 2020
No
AA1733
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jul 2014 - 25 Jun 2017
No
AA1733
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Jul 2014 - 25 Jun 2017
No
AA1733
ABN AMRO BANK N.V.
Type 1: dealing in securities
07 May 2013 - 21 Apr 2014
No
AA1733
ABN AMRO BANK N.V.
Type 4: advising on securities
07 May 2013 - 21 Apr 2014
No
AA1733
ABN AMRO BANK N.V.
Type 9: asset management
07 May 2013 - 21 Apr 2014
No
AA1733
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Apr 2010 - 06 May 2013
No
AA1733
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Apr 2010 - 06 May 2013
No
AA1733
UBS AG
Type 1: dealing in securities
02 Feb 2007 - 16 Mar 2010
No
AA1733
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Feb 2004 - 25 Jan 2007
No
AA1733
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Feb 2004 - 25 Jan 2007
No
AA1733
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
20 Feb 2004 - 21 Mar 2005
No
AA1733
CITIBANK, N.A.
Type 1: dealing in securities
10 May 2003 - 02 Sep 2004
No
AA1733
CITIBANK, N.A.
Type 4: advising on securities
10 May 2003 - 02 Sep 2004
No
AA1733
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 10 Apr 2003
No
AA1733
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 10 Apr 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.