Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MAK, TSZ YAN
Chinese Name of Relevant Individual
麥芷欣
HKMA Registration Number
AF0570
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Jun 2025
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
Since 07 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2023 - 14 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2023 - 14 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2022 - 27 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Feb 2022 - 27 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2020 - 16 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Nov 2020 - 16 Dec 2021
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
17 Oct 2016 - 31 Aug 2020
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
17 Oct 2016 - 31 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2013 - 25 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Oct 2013 - 25 Oct 2014
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 Jun 2011 - 17 Nov 2011
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
25 Mar 2011 - 17 Nov 2011
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
MAK, TSZ YAN
:
Chinese Name of Relevant Individual
麥芷欣
:
HKMA Registration Number
AF0570
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Jun 2025
No
PRIVATE BANKING STAFF
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Jun 2025
No
PRIVATE BANKING STAFF
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0570
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Jun 2025
No
AF0570
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Jun 2025
No
AF0570
EFG BANK AG
Type 1: dealing in securities
28 Oct 2023 - 14 Feb 2025
No
AF0570
EFG BANK AG
Type 4: advising on securities
28 Oct 2023 - 14 Feb 2025
No
AF0570
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
25 Feb 2022 - 27 Sep 2023
No
AF0570
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
25 Feb 2022 - 27 Sep 2023
No
AF0570
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
18 Nov 2020 - 16 Dec 2021
No
AF0570
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
18 Nov 2020 - 16 Dec 2021
No
AF0570
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Oct 2016 - 31 Aug 2020
No
AF0570
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Oct 2016 - 31 Aug 2020
No
AF0570
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
11 Oct 2013 - 25 Oct 2014
No
AF0570
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
11 Oct 2013 - 25 Oct 2014
No
AF0570
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jun 2011 - 17 Nov 2011
No
AF0570
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Mar 2011 - 17 Nov 2011
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.