Register of Securities Staff of AIs
Last updated on 04/10/2024
Name of Relevant Individual
CHOW, CHAK SHING
Chinese Name of Relevant Individual
周澤成
HKMA Registration Number
AC6778
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2018 - 17 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
11 Jul 2018 - 17 Nov 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
11 Jul 2018 - 17 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
11 Jul 2018 - 17 Nov 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
01 Aug 2015 - 18 May 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
31 Jul 2007 - 18 May 2018
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
31 Jul 2007 - 21 Dec 2010
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
06 Sep 2005 - 11 Jul 2007
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
06 Sep 2005 - 11 Jul 2007
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
01 Sep 2005
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
01 Sep 2005
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
CHOW, CHAK SHING
:
Chinese Name of Relevant Individual
周澤成
:
HKMA Registration Number
AC6778
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6778
LGT BANK AG
Type 1: dealing in securities
11 Jul 2018 - 17 Nov 2019
No
AC6778
LGT BANK AG
Type 2: dealing in futures contracts
11 Jul 2018 - 17 Nov 2019
No
AC6778
LGT BANK AG
Type 4: advising on securities
11 Jul 2018 - 17 Nov 2019
No
AC6778
LGT BANK AG
Type 5: advising on futures contracts
11 Jul 2018 - 17 Nov 2019
No
AC6778
CREDIT SUISSE AG
Type 1: dealing in securities
01 Aug 2015 - 18 May 2018
No
AC6778
CREDIT SUISSE AG
Type 4: advising on securities
31 Jul 2007 - 18 May 2018
No
AC6778
CREDIT SUISSE AG
Type 1: dealing in securities
31 Jul 2007 - 21 Dec 2010
No
AC6778
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
06 Sep 2005 - 11 Jul 2007
No
AC6778
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
06 Sep 2005 - 11 Jul 2007
No
AC6778
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
01 Sep 2005
No
AC6778
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
01 Sep 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.