Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, STEVEN SIU KEE
Chinese Name of Relevant Individual
黃紹基
HKMA Registration Number
AC0014
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Dec 2020
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Dec 2020
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, 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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Dec 2020
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
27 May 2017 - 28 Aug 2020
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
19 Jan 2011 - 28 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2010 - 20 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Jul 2010 - 20 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE BANK & TRUST
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2006 - 23 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE BANK & TRUST
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jun 2006 - 23 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2005 - 18 Jun 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
25 Nov 2005 - 18 Jun 2006
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
07 May 2004 - 12 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
05 May 2004 - 12 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2003 - 12 Apr 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jun 2003 - 12 Apr 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, STEVEN SIU KEE
:
Chinese Name of Relevant Individual
黃紹基
:
HKMA Registration Number
AC0014
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
05 Dec 2020
No
RELATIONSHIP MANAGER
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
05 Dec 2020
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0014
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 05 Dec 2020
No
AC0014
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 05 Dec 2020
No
AC0014
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
27 May 2017 - 28 Aug 2020
No
AC0014
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
19 Jan 2011 - 28 Aug 2020
No
AC0014
CREDIT SUISSE AG
Type 4: advising on securities
04 Jul 2010 - 20 Oct 2010
No
AC0014
CREDIT SUISSE AG
Type 6: advising on corporate finance
04 Jul 2010 - 20 Oct 2010
No
AC0014
SOCIETE GENERALE BANK & TRUST
Type 1: dealing in securities
13 Jun 2006 - 23 May 2007
No
AC0014
SOCIETE GENERALE BANK & TRUST
Type 4: advising on securities
13 Jun 2006 - 23 May 2007
No
AC0014
SOCIETE GENERALE
Type 1: dealing in securities
25 Nov 2005 - 18 Jun 2006
No
AC0014
SOCIETE GENERALE
Type 4: advising on securities
25 Nov 2005 - 18 Jun 2006
No
AC0014
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
07 May 2004 - 12 Jan 2005
No
AC0014
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
05 May 2004 - 12 Jan 2005
No
AC0014
UBS AG
Type 4: advising on securities
09 Jun 2003 - 12 Apr 2004
No
AC0014
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 12 Apr 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.