Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
KAWAHARA, NAOTO
Chinese Name of Relevant Individual

HKMA Registration Number
AF2380
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Feb 2006
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
27 Jun 2014
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Mar 2012
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
27 Jun 2014
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
KAWAHARA, NAOTO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF2380
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
16 Feb 2006
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 2: dealing in futures contracts
27 Jun 2014
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
01 Mar 2012
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 5: advising on futures contracts
27 Jun 2014
No
STAFF OF CLIENT ADVISOR