Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, WAI MAN
Chinese Name of Relevant Individual
陳慧敏
HKMA Registration Number
AC6264
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2018 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Oct 2018 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2016 - 20 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jul 2016 - 20 Jul 2018
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
03 Oct 2013 - 25 Apr 2016
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
26 Jan 2013 - 25 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2011 - 25 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jun 2011 - 13 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Mar 2010 - 30 May 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Mar 2010 - 30 May 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2007 - 22 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Nov 2006 - 22 Mar 2010
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
16 Jul 2005 - 16 Nov 2006
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
16 Jul 2005 - 16 Nov 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, WAI MAN
:
Chinese Name of Relevant Individual
陳慧敏
:
HKMA Registration Number
AC6264
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6264
UBS AG
Type 1: dealing in securities
12 Oct 2018 - 20 Sep 2019
No
AC6264
UBS AG
Type 4: advising on securities
12 Oct 2018 - 20 Sep 2019
No
AC6264
CREDIT SUISSE AG
Type 1: dealing in securities
26 Jul 2016 - 20 Jul 2018
No
AC6264
CREDIT SUISSE AG
Type 4: advising on securities
26 Jul 2016 - 20 Jul 2018
No
AC6264
BANK OF MONTREAL
Type 4: advising on securities
03 Oct 2013 - 25 Apr 2016
No
AC6264
BANK OF MONTREAL
Type 1: dealing in securities
26 Jan 2013 - 25 Apr 2016
No
AC6264
CANADIAN IMPERIAL BANK OF COMMERCE
Type 1: dealing in securities
18 Nov 2011 - 25 Jan 2013
No
AC6264
CANADIAN IMPERIAL BANK OF COMMERCE
Type 1: dealing in securities
30 Jun 2011 - 13 Nov 2011
No
AC6264
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
20 Mar 2010 - 30 May 2011
No
AC6264
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
20 Mar 2010 - 30 May 2011
No
AC6264
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
20 Sep 2007 - 22 Mar 2010
No
AC6264
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
30 Nov 2006 - 22 Mar 2010
No
AC6264
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Jul 2005 - 16 Nov 2006
No
AC6264
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Jul 2005 - 16 Nov 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.