Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, KAR LAP STANLEY
Chinese Name of Relevant Individual
謝家立
HKMA Registration Number
AC7645
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
01 Nov 2013
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Nov 2013
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
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 01 Nov 2013
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 01 Nov 2013
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
21 Jun 2012 - 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
21 Jun 2012 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
01 Jul 2008 - 02 Jul 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2008 - 20 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2008 - 20 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2005 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2005 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 9: asset management
Effective Period
16 Nov 2005 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
TSE, KAR LAP STANLEY
:
Chinese Name of Relevant Individual
謝家立
:
HKMA Registration Number
AC7645
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
01 Nov 2013
No
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013
No
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
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)
AC7645
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 01 Nov 2013
No
AC7645
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 01 Nov 2013
No
AC7645
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
21 Jun 2012 - 01 Nov 2013
No
AC7645
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
21 Jun 2012 - 01 Nov 2013
No
AC7645
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
01 Jul 2008 - 02 Jul 2012
No
AC7645
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2008 - 20 Jun 2012
No
AC7645
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2008 - 20 Jun 2012
No
AC7645
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
16 Nov 2005 - 12 Oct 2008
No
AC7645
AMERICAN EXPRESS BANK LIMITED
Type 4: advising on securities
16 Nov 2005 - 12 Oct 2008
No
AC7645
AMERICAN EXPRESS BANK LIMITED
Type 9: asset management
16 Nov 2005 - 12 Oct 2008
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.