Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SUK FAN LIZA
Chinese Name of Relevant Individual
陳淑芬
HKMA Registration Number
AC5130
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
03 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
18 May 2017 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
18 May 2017 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 05 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 05 May 2017
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
30 Nov 2013 - 30 Sep 2016
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
30 Nov 2013 - 30 Sep 2016
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
14 Feb 2008 - 22 Nov 2013
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
04 Jan 2007 - 05 Feb 2008
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
04 Jan 2007 - 05 Feb 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DELTA ASIA CREDIT LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2005 - 26 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DELTA ASIA CREDIT LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Nov 2005 - 26 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2005 - 10 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS
Regulated Activity
Type 4: advising on securities
Effective Period
23 Mar 2005 - 10 May 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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, SUK FAN LIZA
:
Chinese Name of Relevant Individual
陳淑芬
:
HKMA Registration Number
AC5130
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
03 May 2021
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
03 May 2021
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5130
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 03 May 2021
No
AC5130
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 03 May 2021
No
AC5130
BANK OF MONTREAL
Type 1: dealing in securities
18 May 2017 - 30 Apr 2021
No
AC5130
BANK OF MONTREAL
Type 4: advising on securities
18 May 2017 - 30 Apr 2021
No
AC5130
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 05 May 2017
No
AC5130
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 05 May 2017
No
AC5130
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
30 Nov 2013 - 30 Sep 2016
No
AC5130
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
30 Nov 2013 - 30 Sep 2016
No
AC5130
SOCIETE GENERALE BANK & TRUST
Type 1: dealing in securities
14 Feb 2008 - 22 Nov 2013
No
AC5130
CITIBANK, N.A.
Type 1: dealing in securities
04 Jan 2007 - 05 Feb 2008
No
AC5130
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
04 Jan 2007 - 05 Feb 2008
No
AC5130
DELTA ASIA CREDIT LIMITED
Type 1: dealing in securities
10 Nov 2005 - 26 Jul 2006
No
AC5130
DELTA ASIA CREDIT LIMITED
Type 4: advising on securities
10 Nov 2005 - 26 Jul 2006
No
AC5130
BANK OF COMMUNICATIONS
Type 1: dealing in securities
23 Mar 2005 - 10 May 2005
No
AC5130
BANK OF COMMUNICATIONS
Type 4: advising on securities
23 Mar 2005 - 10 May 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.