Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHIU, CHI KUEN
Chinese Name of Relevant Individual
蕭志娟
HKMA Registration Number
AC8761
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Mar 2024
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
18 Dec 2012 - 21 Feb 2024
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
18 Dec 2012 - 21 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2011 - 12 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2011 - 12 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2010 - 12 Oct 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
24 Mar 2010 - 12 Oct 2011
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
02 Jun 2006 - 31 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 9: asset management
Effective Period
02 Jun 2006 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2006 - 01 Jun 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
SHIU, CHI KUEN
:
Chinese Name of Relevant Individual
蕭志娟
:
HKMA Registration Number
AC8761
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
04 Mar 2024
No
CLIENT SERVICE EXECUTIVE
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
04 Mar 2024
No
CLIENT SERVICE EXECUTIVE
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8761
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 04 Mar 2024
No
AC8761
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
Since 04 Mar 2024
No
AC8761
CREDIT SUISSE AG
Type 1: dealing in securities
18 Dec 2012 - 21 Feb 2024
No
AC8761
CREDIT SUISSE AG
Type 4: advising on securities
18 Dec 2012 - 21 Feb 2024
No
AC8761
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
02 Nov 2011 - 12 Oct 2012
No
AC8761
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
02 Nov 2011 - 12 Oct 2012
No
AC8761
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Mar 2010 - 12 Oct 2011
No
AC8761
ABN AMRO BANK N.V.
Type 9: asset management
24 Mar 2010 - 12 Oct 2011
No
AC8761
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
02 Jun 2006 - 31 Mar 2010
No
AC8761
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
02 Jun 2006 - 31 Mar 2010
No
AC8761
EFG BANK
Type 1: dealing in securities
18 Mar 2006 - 01 Jun 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.