Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, FUNG KUEN KAREN
Chinese Name of Relevant Individual
王鳳娟
HKMA Registration Number
AA2026
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
15 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
01 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
15 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 15 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 15 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 May 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
25 Mar 2010 - 30 Apr 2017
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
25 Mar 2010 - 30 Apr 2017
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
25 Mar 2010 - 18 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2009 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2006 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 9: asset management
Effective Period
06 Mar 2006 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2004 - 01 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 01 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 01 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 01 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 01 Jan 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
WONG, FUNG KUEN KAREN
:
Chinese Name of Relevant Individual
王鳳娟
:
HKMA Registration Number
AA2026
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
01 May 2017
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
15 Jun 2017
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
01 May 2017
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
15 Jun 2017
No
STAFF OF WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2026
LGT BANK AG
Type 2: dealing in futures contracts
Since 15 Jun 2017
No
AA2026
LGT BANK AG
Type 5: advising on futures contracts
Since 15 Jun 2017
No
AA2026
LGT BANK AG
Type 1: dealing in securities
Since 01 May 2017
No
AA2026
LGT BANK AG
Type 4: advising on securities
Since 01 May 2017
No
AA2026
ABN AMRO BANK N.V.
Type 1: dealing in securities
25 Mar 2010 - 30 Apr 2017
No
AA2026
ABN AMRO BANK N.V.
Type 4: advising on securities
25 Mar 2010 - 30 Apr 2017
No
AA2026
ABN AMRO BANK N.V.
Type 9: asset management
25 Mar 2010 - 18 May 2014
No
AA2026
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
14 Feb 2009 - 31 Mar 2010
No
AA2026
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
06 Mar 2006 - 31 Mar 2010
No
AA2026
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
06 Mar 2006 - 31 Mar 2010
No
AA2026
CANADIAN IMPERIAL BANK OF COMMERCE
Type 1: dealing in securities
07 Jan 2004 - 01 Mar 2006
No
AA2026
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 01 Jan 2004
No
AA2026
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 01 Jan 2004
No
AA2026
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 01 Jan 2004
No
AA2026
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 01 Jan 2004
No
AA2026
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
01 Apr 2003 - 01 Jan 2004
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.