Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSUI, KING CHARLES
Chinese Name of Relevant Individual
徐勁
HKMA Registration Number
AC0022
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Mar 2022
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
01 Mar 2022
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 01 Mar 2022
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
11 Aug 2010 - 12 Apr 2011
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Aug 2010 - 12 Apr 2011
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
25 Apr 2009 - 10 Aug 2010
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
25 Apr 2009 - 10 Aug 2010
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
29 Apr 2008 - 22 Apr 2009
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Apr 2008 - 22 Apr 2009
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
17 Nov 2003 - 28 Apr 2008
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
17 Nov 2003 - 28 Apr 2008
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 - 30 Oct 2003
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 - 30 Oct 2003
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
TSUI, KING CHARLES
:
Chinese Name of Relevant Individual
徐勁
:
HKMA Registration Number
AC0022
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
01 Mar 2022
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 6: advising on corporate finance
01 Mar 2022
No
WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0022
BNP PARIBAS
Type 1: dealing in securities
Since 01 Mar 2022
No
AC0022
BNP PARIBAS
Type 6: advising on corporate finance
Since 01 Mar 2022
No
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Aug 2010 - 12 Apr 2011
Yes
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
11 Aug 2010 - 12 Apr 2011
Yes
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
25 Apr 2009 - 10 Aug 2010
No
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
25 Apr 2009 - 10 Aug 2010
No
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
29 Apr 2008 - 22 Apr 2009
Yes
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
29 Apr 2008 - 22 Apr 2009
Yes
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
17 Nov 2003 - 28 Apr 2008
No
AC0022
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
17 Nov 2003 - 28 Apr 2008
No
AC0022
UBS AG
Type 4: advising on securities
09 Jun 2003 - 30 Oct 2003
No
AC0022
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 30 Oct 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.