Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KA WAI
Chinese Name of Relevant Individual
陳嘉慧
HKMA Registration Number
AC0859
Current Registration
Not Applicable
Business Address
Not Applicable
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 1: dealing in securities
Effective Period
01 May 2017 - 11 Jan 2022
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
01 May 2017 - 11 Jan 2022
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
01 May 2017 - 11 Jan 2022
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
01 May 2017 - 11 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Nov 2014 - 30 Apr 2017
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
12 Nov 2014 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2011 - 26 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2010 - 26 Sep 2014
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
07 Nov 2003 - 18 Dec 2008
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
07 Nov 2003 - 18 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
07 Nov 2003 - 18 Dec 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CHAN, KA WAI
:
Chinese Name of Relevant Individual
陳嘉慧
:
HKMA Registration Number
AC0859
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0859
LGT BANK AG
Type 1: dealing in securities
01 May 2017 - 11 Jan 2022
No
AC0859
LGT BANK AG
Type 2: dealing in futures contracts
01 May 2017 - 11 Jan 2022
No
AC0859
LGT BANK AG
Type 4: advising on securities
01 May 2017 - 11 Jan 2022
No
AC0859
LGT BANK AG
Type 5: advising on futures contracts
01 May 2017 - 11 Jan 2022
No
AC0859
ABN AMRO BANK N.V.
Type 1: dealing in securities
12 Nov 2014 - 30 Apr 2017
No
AC0859
ABN AMRO BANK N.V.
Type 4: advising on securities
12 Nov 2014 - 30 Apr 2017
No
AC0859
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
01 Jan 2011 - 26 Sep 2014
No
AC0859
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
07 Jan 2010 - 26 Sep 2014
No
AC0859
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Nov 2003 - 18 Dec 2008
No
AC0859
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Nov 2003 - 18 Dec 2008
No
AC0859
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
07 Nov 2003 - 18 Dec 2008
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.