Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, KUAN TING SHERRY
Chinese Name of Relevant Individual
陳冠婷
HKMA Registration Number
AF2933
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Sep 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR (BANKING)
Remarks
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
15 Sep 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR (BANKING)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BARCLAYS BANK PLC
SFC CE number
AAJ160
Business Address
41/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
BARCLAYS BANK PLC
Effective Date
23 Dec 2025
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
BARCLAYS BANK PLC
Effective Date
23 Dec 2025
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 23 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2011 - 22 Dec 2025
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
15 Sep 2011 - 22 Dec 2025
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CHEN, KUAN TING SHERRY
:
Chinese Name of Relevant Individual
陳冠婷
:
HKMA Registration Number
AF2933
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Sep 2011
Yes
MANAGING DIRECTOR (BANKING)
BARCLAYS BANK PLC
Type 6: advising on corporate finance
15 Sep 2011
Yes
MANAGING DIRECTOR (BANKING)
Name of Registered Institution
SFC CE number
Business Address
BARCLAYS BANK PLC
AAJ160
41/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
BARCLAYS BANK PLC
1
23 Dec 2025
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
BARCLAYS BANK PLC
2
23 Dec 2025
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2933
BARCLAYS BANK PLC
Type 1: dealing in securities
Since 23 Dec 2025
Yes
AF2933
BARCLAYS BANK PLC
Type 6: advising on corporate finance
Since 23 Dec 2025
Yes
AF2933
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Sep 2011 - 22 Dec 2025
No
AF2933
BARCLAYS BANK PLC
Type 6: advising on corporate finance
15 Sep 2011 - 22 Dec 2025
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.