Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HSIEH, CHAO KUANG
Chinese Name of Relevant Individual
謝朝光
HKMA Registration Number
AC6171
Other HKMA Registration Number(s)
AE8892
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
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Nov 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Nov 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jun 2017 - 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2005 - 31 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jul 2005 - 31 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HSIEH, CHAO KUANG
:
Chinese Name of Relevant Individual
謝朝光
:
HKMA Registration Number
AC6171
:
Other HKMA Registration Number(s)
AE8892
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AE8892
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 09 Nov 2010
No
AE8892
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 09 Nov 2010
No
AE8892
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
07 Feb 2022 - 05 Nov 2024
No
AE8892
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
30 Jun 2017 - 05 Nov 2024
No
AC6171
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
06 Jul 2005 - 31 Oct 2012
No
AC6171
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
06 Jul 2005 - 31 Oct 2012
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.