Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIN, MONIQUE WING SHEUNG
Chinese Name of Relevant Individual
冼泳湘
HKMA Registration Number
AC0137
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
03 Oct 2016
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
19 Oct 2016
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Oct 2016
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
19 Oct 2016
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
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 19 Oct 2016
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 19 Oct 2016
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 03 Oct 2016
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 03 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2012 - 08 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jun 2012 - 08 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2010 - 22 Mar 2012
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
21 Oct 2010 - 22 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
29 Jul 2004 - 15 Feb 2005
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
29 Jul 2004 - 15 Feb 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 7: providing automated trading services
Effective Period
29 Jul 2004 - 15 Feb 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jun 2003 - 15 Feb 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jun 2003 - 15 Feb 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
20 Jun 2003 - 15 Feb 2005
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
SIN, MONIQUE WING SHEUNG
:
Chinese Name of Relevant Individual
冼泳湘
:
HKMA Registration Number
AC0137
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
03 Oct 2016
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 2: dealing in futures contracts
19 Oct 2016
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
03 Oct 2016
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 5: advising on futures contracts
19 Oct 2016
No
STAFF OF CLIENT ADVISOR
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)
AC0137
LGT BANK AG
Type 2: dealing in futures contracts
Since 19 Oct 2016
No
AC0137
LGT BANK AG
Type 5: advising on futures contracts
Since 19 Oct 2016
No
AC0137
LGT BANK AG
Type 1: dealing in securities
Since 03 Oct 2016
No
AC0137
LGT BANK AG
Type 4: advising on securities
Since 03 Oct 2016
No
AC0137
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
08 Jun 2012 - 08 Aug 2016
No
AC0137
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
08 Jun 2012 - 08 Aug 2016
No
AC0137
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
13 Nov 2010 - 22 Mar 2012
No
AC0137
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
21 Oct 2010 - 22 Mar 2012
No
AC0137
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Jul 2004 - 15 Feb 2005
No
AC0137
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Jul 2004 - 15 Feb 2005
No
AC0137
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 7: providing automated trading services
29 Jul 2004 - 15 Feb 2005
No
AC0137
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Jun 2003 - 15 Feb 2005
No
AC0137
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Jun 2003 - 15 Feb 2005
No
AC0137
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
20 Jun 2003 - 15 Feb 2005
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.