Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHIH, STEPHEN
Chinese Name of Relevant Individual
施健文
HKMA Registration Number
AF1231
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jan 2016 - 07 May 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
19 Jan 2016 - 07 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Jan 2016 - 07 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
18 May 2011 - 23 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
18 May 2011 - 23 Jan 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
SHIH, STEPHEN
:
Chinese Name of Relevant Individual
施健文
:
HKMA Registration Number
AF1231
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Jan 2016 - 07 May 2025
No
AF1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Jan 2016 - 07 May 2025
No
AF1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
19 Jan 2016 - 07 May 2025
No
AF1231
BARCLAYS BANK PLC
Type 1: dealing in securities
18 May 2011 - 23 Jan 2013
No
AF1231
BARCLAYS BANK PLC
Type 6: advising on corporate finance
18 May 2011 - 23 Jan 2013
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.