Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, ON KIT JASON
Chinese Name of Relevant Individual
歐安傑
HKMA Registration Number
AC5836
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD, GLOBAL INVESTMENT BANKING, GREATER CHINA
Remarks
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD, GLOBAL INVESTMENT BANKING, GREATER CHINA
Remarks
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
14 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD, GLOBAL INVESTMENT BANKING, GREATER CHINA
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
SFC CE number
AAD499
Business Address
9/F., NINE QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Effective Date
14 Mar 2022
Description
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 14 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2021 - 13 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Sep 2021 - 13 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Sep 2021 - 13 Mar 2022
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
15 Apr 2020 - 26 May 2021
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
15 Apr 2020 - 26 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Apr 2020 - 26 May 2021
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
17 Apr 2007 - 16 May 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
17 Apr 2007 - 16 May 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Apr 2007 - 16 May 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Mar 2007 - 16 Apr 2007
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
03 Mar 2007 - 16 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Mar 2007 - 16 Apr 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
AU, ON KIT JASON
:
Chinese Name of Relevant Individual
歐安傑
:
HKMA Registration Number
AC5836
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
14 Sep 2021
Yes
HEAD, GLOBAL INVESTMENT BANKING, GREATER CHINA
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
14 Sep 2021
Yes
HEAD, GLOBAL INVESTMENT BANKING, GREATER CHINA
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 6: advising on corporate finance
14 Sep 2021
Yes
HEAD, GLOBAL INVESTMENT BANKING, GREATER CHINA
Name of Registered Institution
SFC CE number
Business Address
OVERSEA-CHINESE BANKING CORPORATION LIMITED
AAD499
9/F., NINE QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
OVERSEA-CHINESE BANKING CORPORATION LIMITED
1
14 Mar 2022
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5836
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
Since 14 Mar 2022
Yes
AC5836
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
Since 14 Mar 2022
Yes
AC5836
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 6: advising on corporate finance
Since 14 Mar 2022
Yes
AC5836
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
14 Sep 2021 - 13 Mar 2022
No
AC5836
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
14 Sep 2021 - 13 Mar 2022
No
AC5836
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 6: advising on corporate finance
14 Sep 2021 - 13 Mar 2022
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Apr 2020 - 26 May 2021
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Apr 2020 - 26 May 2021
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
15 Apr 2020 - 26 May 2021
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
17 Apr 2007 - 16 May 2016
Yes
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Apr 2007 - 16 May 2016
Yes
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
17 Apr 2007 - 16 May 2016
Yes
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
03 Mar 2007 - 16 Apr 2007
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
03 Mar 2007 - 16 Apr 2007
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
03 Mar 2007 - 16 Apr 2007
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Jun 2005 - 27 Feb 2007
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Jun 2005 - 27 Feb 2007
No
AC5836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
07 Jun 2005 - 27 Feb 2007
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.