Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, PUI KWAN
Chinese Name of Relevant Individual
陳佩君
HKMA Registration Number
AA1827
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
16 Jun 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF GLOBAL PRIVATE BANKING, NORTH ASIA AND HONG KONG
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Jun 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF GLOBAL PRIVATE BANKING, NORTH ASIA AND HONG KONG
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 03 Sep 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Sep 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2025 - 02 Sep 2025
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
16 Jun 2025 - 02 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
18 May 2017 - 24 Jan 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 9: asset management
Effective Period
18 May 2017 - 24 Jan 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Sep 2012 - 24 Jan 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
17 Nov 2016 - 17 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 9: asset management
Effective Period
17 Nov 2016 - 17 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2007 - 03 Sep 2012
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
01 Oct 2005 - 17 Jun 2007
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 - 17 Jun 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, PUI KWAN
:
Chinese Name of Relevant Individual
陳佩君
:
HKMA Registration Number
AA1827
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
16 Jun 2025
Yes
HEAD OF GLOBAL PRIVATE BANKING, NORTH ASIA AND HONG KONG
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Jun 2025
Yes
HEAD OF GLOBAL PRIVATE BANKING, NORTH ASIA AND HONG KONG
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)
AA1827
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 03 Sep 2025
Yes
AA1827
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 03 Sep 2025
Yes
AA1827
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Jun 2025 - 02 Sep 2025
No
AA1827
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Jun 2025 - 02 Sep 2025
No
AA1827
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
18 May 2017 - 24 Jan 2025
Yes
AA1827
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 9: asset management
18 May 2017 - 24 Jan 2025
Yes
AA1827
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
04 Sep 2012 - 24 Jan 2025
Yes
AA1827
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
17 Nov 2016 - 17 May 2017
No
AA1827
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 9: asset management
17 Nov 2016 - 17 May 2017
No
AA1827
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
28 Jun 2007 - 03 Sep 2012
No
AA1827
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 17 Jun 2007
No
AA1827
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 17 Jun 2007
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.