Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHIM, YAT KAN
Chinese Name of Relevant Individual
詹逸瑾
HKMA Registration Number
AC9497
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 2026
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 2026
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 2026
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 2026
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
20 Jan 2025 - 02 Nov 2025
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
20 Jan 2025 - 02 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Oct 2024 - 02 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2021 - 18 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jun 2021 - 18 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2013 - 27 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2013 - 27 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
25 Feb 2013 - 27 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
25 Feb 2013 - 27 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2011 - 08 Aug 2011
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
27 May 2006 - 05 Jul 2007
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
27 May 2006 - 05 Jul 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
CHIM, YAT KAN
:
Chinese Name of Relevant Individual
詹逸瑾
:
HKMA Registration Number
AC9497
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 2026
No
CLIENT SERVICE EXECUTIVE
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
04 Mar 2026
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)
AC9497
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 04 Mar 2026
No
AC9497
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
Since 04 Mar 2026
No
AC9497
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Jan 2025 - 02 Nov 2025
No
AC9497
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Jan 2025 - 02 Nov 2025
No
AC9497
UBS AG
Type 1: dealing in securities
16 Oct 2024 - 02 Jan 2025
No
AC9497
ROYAL BANK OF CANADA
Type 1: dealing in securities
08 Jun 2021 - 18 Jul 2024
No
AC9497
ROYAL BANK OF CANADA
Type 4: advising on securities
08 Jun 2021 - 18 Jul 2024
No
AC9497
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
25 Feb 2013 - 27 Feb 2015
No
AC9497
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Feb 2013 - 27 Feb 2015
No
AC9497
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Feb 2013 - 27 Feb 2015
No
AC9497
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
25 Feb 2013 - 27 Feb 2015
No
AC9497
UBS AG
Type 1: dealing in securities
19 Apr 2011 - 08 Aug 2011
No
AC9497
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 May 2006 - 05 Jul 2007
No
AC9497
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 May 2006 - 05 Jul 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.