Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

SIU, SING MAN JOANNA

Chinese Name of Relevant Individual

蕭承文

HKMA Registration Number

AA2523

Current Registration

Not Applicable

Business Address

Conditions

Registration History

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

HKMA Registration Number

A

Registered Institution

BANK OF MONTREAL

Regulated Activity

Type 1: dealing in securities

Effective Period

29 Dec 2015 - 11 Jan 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BANK OF MONTREAL

Regulated Activity

Type 4: advising on securities

Effective Period

29 Dec 2015 - 11 Jan 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CREDIT AGRICOLE (SUISSE) SA

Regulated Activity

Type 1: dealing in securities

Effective Period

18 Dec 2015

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CREDIT AGRICOLE (SUISSE) SA

Regulated Activity

Type 4: advising on securities

Effective Period

18 Dec 2015

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

LGT BANK AG

Regulated Activity

Type 2: dealing in futures contracts

Effective Period

27 Aug 2014 - 09 Sep 2015

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

27 Aug 2014 - 09 Sep 2015

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

09 Aug 2014 - 09 Sep 2015

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

09 Aug 2014 - 09 Sep 2015

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

27 May 2003 - 30 May 2014

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

01 Apr 2003 - 13 May 2003

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

SIU, SING MAN JOANNA

:

Chinese Name of Relevant Individual

蕭承文

:

HKMA Registration Number

AA2523

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AA2523

BANK OF MONTREAL

Type 1: dealing in securities

29 Dec 2015 - 11 Jan 2019

No

AA2523

BANK OF MONTREAL

Type 4: advising on securities

29 Dec 2015 - 11 Jan 2019

No

AA2523

CREDIT AGRICOLE (SUISSE) SA

Type 1: dealing in securities

18 Dec 2015

No

AA2523

CREDIT AGRICOLE (SUISSE) SA

Type 4: advising on securities

18 Dec 2015

No

AA2523

LGT BANK AG

Type 2: dealing in futures contracts

27 Aug 2014 - 09 Sep 2015

No

AA2523

LGT BANK AG

Type 5: advising on futures contracts

27 Aug 2014 - 09 Sep 2015

No

AA2523

LGT BANK AG

Type 1: dealing in securities

09 Aug 2014 - 09 Sep 2015

No

AA2523

LGT BANK AG

Type 4: advising on securities

09 Aug 2014 - 09 Sep 2015

No

AA2523

DEUTSCHE BANK AKTIENGESELLSCHAFT

Type 1: dealing in securities

27 May 2003 - 30 May 2014

No

AA2523

DEUTSCHE BANK AKTIENGESELLSCHAFT

Type 1: dealing in securities

01 Apr 2003 - 13 May 2003

No