Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KA YAN
Chinese Name of Relevant Individual
陳嘉恩
HKMA Registration Number
AC9393
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISORY
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISORY
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2013 - 12 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2013 - 12 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
22 Mar 2013 - 12 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2011 - 23 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2011 - 23 Aug 2012
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
12 Nov 2010 - 20 Jun 2011
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
12 Nov 2010 - 20 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2008 - 17 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Mar 2008 - 17 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2007 - 28 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 May 2006 - 28 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
18 May 2006 - 28 Sep 2007
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, KA YAN
:
Chinese Name of Relevant Individual
陳嘉恩
:
HKMA Registration Number
AC9393
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Mar 2026
No
INVESTMENT ADVISORY
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
21 Mar 2026
No
INVESTMENT ADVISORY
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9393
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 21 Mar 2026
No
AC9393
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 21 Mar 2026
No
AC9393
HANG SENG BANK, LIMITED
Type 1: dealing in securities
22 Mar 2013 - 12 Feb 2026
No
AC9393
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Mar 2013 - 12 Feb 2026
No
AC9393
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Mar 2013 - 12 Feb 2026
No
AC9393
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
08 Sep 2011 - 23 Aug 2012
No
AC9393
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
08 Sep 2011 - 23 Aug 2012
No
AC9393
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Nov 2010 - 20 Jun 2011
No
AC9393
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Nov 2010 - 20 Jun 2011
No
AC9393
DAH SING BANK, LIMITED
Type 1: dealing in securities
25 Mar 2008 - 17 Oct 2010
No
AC9393
DAH SING BANK, LIMITED
Type 4: advising on securities
25 Mar 2008 - 17 Oct 2010
No
AC9393
HANG SENG BANK, LIMITED
Type 4: advising on securities
23 May 2007 - 28 Sep 2007
No
AC9393
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 May 2006 - 28 Sep 2007
No
AC9393
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 May 2006 - 28 Sep 2007
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.