Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FUNG, CHI KIN
Chinese Name of Relevant Individual
馮志堅
HKMA Registration Number
AC0807
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jul 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jul 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2019 - 29 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2019 - 29 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2019 - 29 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2019 - 29 Apr 2022
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
24 May 2017 - 20 Sep 2019
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
28 Oct 2013 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2013 - 30 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2013 - 30 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2010 - 10 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jun 2010 - 10 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2009 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2009 - 31 Mar 2010
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
20 Sep 2007 - 31 Dec 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 23
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
FUNG, CHI KIN
:
Chinese Name of Relevant Individual
馮志堅
:
HKMA Registration Number
AC0807
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Jul 2024
No
PRODUCT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Jul 2024
No
PRODUCT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0807
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 24 Jul 2024
No
AC0807
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 24 Jul 2024
No
AC0807
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
09 Nov 2019 - 29 Apr 2022
No
AC0807
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
09 Nov 2019 - 29 Apr 2022
No
AC0807
CITIBANK, N.A.
Type 1: dealing in securities
02 Nov 2019 - 29 Apr 2022
No
AC0807
CITIBANK, N.A.
Type 4: advising on securities
02 Nov 2019 - 29 Apr 2022
No
AC0807
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
24 May 2017 - 20 Sep 2019
No
AC0807
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
28 Oct 2013 - 20 Sep 2019
No
AC0807
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jun 2013 - 30 Aug 2013
No
AC0807
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Jun 2013 - 30 Aug 2013
No
AC0807
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Jun 2010 - 10 Apr 2013
No
AC0807
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Jun 2010 - 10 Apr 2013
No
AC0807
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Oct 2009 - 31 Mar 2010
No
AC0807
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Oct 2009 - 31 Mar 2010
No
AC0807
ABN AMRO BANK N.V.
Type 4: advising on securities
20 Sep 2007 - 31 Dec 2008
No
AC0807
ABN AMRO BANK N.V.
Type 1: dealing in securities
08 Dec 2005 - 31 Dec 2008
No
AC0807
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 05 Oct 2005
No
AC0807
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 05 Oct 2005
No
AC0807
CITIBANK, N.A.
Type 1: dealing in securities
08 Feb 2005 - 07 Jul 2005
No
AC0807
CITIBANK, N.A.
Type 4: advising on securities
08 Feb 2005 - 07 Jul 2005
No
AC0807
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Dec 2003 - 02 Feb 2005
No
AC0807
HANG SENG BANK, LIMITED
Type 1: dealing in securities
29 Oct 2003 - 02 Feb 2005
No
AC0807
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
29 Oct 2003 - 02 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.