Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SIU PING CAROL
Chinese Name of Relevant Individual
陳少萍
HKMA Registration Number
AC9304
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2020 - 02 Jun 2023
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
01 Jun 2020 - 02 Jun 2023
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 Feb 2010 - 22 May 2020
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
11 May 2006 - 22 May 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, SIU PING CAROL
:
Chinese Name of Relevant Individual
陳少萍
:
HKMA Registration Number
AC9304
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9304
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Jun 2020 - 02 Jun 2023
No
AC9304
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
01 Jun 2020 - 02 Jun 2023
No
AC9304
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Feb 2010 - 22 May 2020
No
AC9304
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 May 2006 - 22 May 2020
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.