Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHU, SAU WAI NICOLA
Chinese Name of Relevant Individual
朱秀慧
HKMA Registration Number
AF3255
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2018 - 19 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2018 - 19 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
10 May 2018 - 19 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2017 - 26 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jul 2017 - 26 Mar 2018
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
27 Jul 2015 - 10 May 2017
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
27 Jul 2015 - 10 May 2017
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
30 Apr 2013 - 23 Jun 2015
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
30 Apr 2013 - 23 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2011 - 04 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Oct 2011 - 04 Mar 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CHU, SAU WAI NICOLA
:
Chinese Name of Relevant Individual
朱秀慧
:
HKMA Registration Number
AF3255
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3255
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 May 2018 - 19 Jun 2019
No
AF3255
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 May 2018 - 19 Jun 2019
No
AF3255
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 May 2018 - 19 Jun 2019
No
AF3255
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Jul 2017 - 26 Mar 2018
No
AF3255
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Jul 2017 - 26 Mar 2018
No
AF3255
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jul 2015 - 10 May 2017
No
AF3255
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Jul 2015 - 10 May 2017
No
AF3255
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
30 Apr 2013 - 23 Jun 2015
No
AF3255
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
30 Apr 2013 - 23 Jun 2015
No
AF3255
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Oct 2011 - 04 Mar 2013
No
AF3255
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Oct 2011 - 04 Mar 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.