Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DENG, SUK YEE FLORENCE
Chinese Name of Relevant Individual
鄧淑儀
HKMA Registration Number
AC6145
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
12 Feb 2020
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Feb 2020
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
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 12 Feb 2020
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 12 Feb 2020
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
07 Apr 2017 - 17 Oct 2019
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
07 Apr 2017 - 17 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jul 2014 - 02 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jul 2014 - 02 Apr 2017
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
01 Nov 2013 - 30 Apr 2014
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
01 Nov 2013 - 30 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jan 2006 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jan 2006 - 01 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
06 Jul 2005 - 12 Jan 2006
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
DENG, SUK YEE FLORENCE
:
Chinese Name of Relevant Individual
鄧淑儀
:
HKMA Registration Number
AC6145
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
12 Feb 2020
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Feb 2020
No
RELATIONSHIP MANAGEMENT
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)
AC6145
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 12 Feb 2020
No
AC6145
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 12 Feb 2020
No
AC6145
LGT BANK AG
Type 1: dealing in securities
07 Apr 2017 - 17 Oct 2019
No
AC6145
LGT BANK AG
Type 4: advising on securities
07 Apr 2017 - 17 Oct 2019
No
AC6145
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Type 1: dealing in securities
30 Jul 2014 - 02 Apr 2017
No
AC6145
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Type 4: advising on securities
30 Jul 2014 - 02 Apr 2017
No
AC6145
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 30 Apr 2014
No
AC6145
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 30 Apr 2014
No
AC6145
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
16 Jan 2006 - 01 Nov 2013
No
AC6145
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
16 Jan 2006 - 01 Nov 2013
No
AC6145
CITIBANK, N.A.
Type 1: dealing in securities
06 Jul 2005 - 12 Jan 2006
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.