Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KATHIE
Chinese Name of Relevant Individual
陳嘉蒂
HKMA Registration Number
AA1836
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
BANK SARASIN & CIE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2012 - 20 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SARASIN & CIE AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2012 - 20 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2011 - 20 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2006 - 31 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Oct 2006 - 31 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
10 Oct 2006 - 31 Aug 2011
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
22 Jan 2004 - 12 May 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 - 23 Dec 2003
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 - 23 Dec 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, KATHIE
:
Chinese Name of Relevant Individual
陳嘉蒂
:
HKMA Registration Number
AA1836
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1836
BANK SARASIN & CIE AG
Type 1: dealing in securities
13 Apr 2012 - 20 Jun 2012
No
AA1836
BANK SARASIN & CIE AG
Type 4: advising on securities
13 Apr 2012 - 20 Jun 2012
No
AA1836
UBS AG
Type 1: dealing in securities
05 Nov 2011 - 20 Mar 2012
No
AA1836
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Oct 2006 - 31 Aug 2011
No
AA1836
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Oct 2006 - 31 Aug 2011
No
AA1836
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
10 Oct 2006 - 31 Aug 2011
No
AA1836
CITIBANK, N.A.
Type 1: dealing in securities
22 Jan 2004 - 12 May 2005
No
AA1836
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 23 Dec 2003
No
AA1836
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 23 Dec 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.